FINRA’s rules and guidance strive to protect investors and ensure the integrity of today’s rapidly evolving market.
FINRA’s rules and guidance strive to protect investors and ensure the integrity of today’s rapidly evolving market.
FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers. We involve a number of interested parties in rulemaking deliberations so that broker-dealers and investors can have confidence they are collaborating on a level playing field. Our relationship to these participants, as well as the SEC, puts us in the unique position to guard the integrity of the market