FINRA Regulated Professionals

The Financial Industry Regulatory Authority affects most individuals who make a living trading securities, monitoring stocks, or are involved otherwise in the financial market. These are brokers and other workers who work at firms or other financial institutions that are registered with FINRA, and thus are subject to an even higher standard than regular federal and state regulations. FINRA is dedicated to protecting investors by regulating and monitoring the securities industry, to ensure that it is operating fairly to everyone. Before becoming a member of FINRA, members have to go through a lengthy and extensive vetting process including a background check that discloses any criminal or employment history.