About FINRA
FINRA is a not-for-profit organization authorized by Congress that is dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—brokerage firms doing business with the public in the United States.
FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. FINRA oversees more than 624,000 brokers across the country—and analyzes billions of daily market events.
FINRA’s mission to ensure that everyone can participate in the market with confidence.
Select FINRA Spokespeople
Robert W. Cook
President and Chief Executive Office
Stephanie Dumont
Executive Vice President, Market Regulation and Transparency Services
Bill St. Louis
Executive Vice President and
Head of Enforcement
Audria Pendergrass Lee
Vice President, Talent Acquisition and Chief Diversity Officer
Steve Randich
Executive Vice President
Chief Information Officer
Greg Ruppert
Executive Vice President
Member Supervision
Jonathan Sokobin
Executive Vice President and
Chief Economist
Gerri M. Walsh
President, FINRA Investor Education Foundation and
Senior Vice President, Investor Education
Rainia L. Washington
Executive Vice President, Chief Human Resources Officer
FINRA Images
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Annual Reports
- 2023 Report on FINRA’s Examination and Risk Monitoring Program
- FINRA 2022 Annual Budget Summary
- 2021 FINRA Annual Financial Report
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