Firms We Regulate

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.  A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book. A Funding Portal is a crowd funding intermediary. 

• Broker-Dealer Firms
• Capital Acquisition Brokers
• Funding Portals