Financial Industry Regulatory Authority, Inc. (FINRA)
The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States. Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the brokerage industry. All told, FINRA oversees about 4,215 brokerage firms, about 162,365 branch offices and approximately 633,620 brokers. With approximately 3,400 employees, we are the first line of defense for investors—working in communities all across the nation. This has been added to Financial Sources Subject Tracer™.