It's our job to ensure that brokers and securities firms play by the rules.

We do this by:

• Conducting routine examinations of registered brokers and securities firms.
• Investigating brokers and securities firms against whom complaints have been made.
• Fining, barring or suspending brokers who violate the rules.
• Returning money to harmed investors.

An informed investor is a safer and more confident investor.

We help by:

• Providing free, unbiased educational resources and tools to help investors evaluate products and professionals.
• Keeping investors up to date on potential investment scams and actions taken against dishonest brokers.
• Hosting investor education forums, where top experts explain where investors can turn for unbiased resources and tools.

• Advertising
• Anti-Money Laundering
• Breakpoints
• Business Continuity PlanningBusiness Continuity Planning
• College Savings Plans
• Mutual Funds
• Research Analyst Rules
• Rule Filings
• Sanction Guidelines
• Security Futures
• Senior Investors
• Supervisory Control
• Variable Annuities

• FINRA Fines MetLife Securities and Affiliates $1.2 Million for Email Supervision Failures

  11.18.09

• FINRA Wins Okay for Major Expansion of BrokerCheck, Will Permanently Disclose Disciplinary Actions Against Former Brokers

  11.17.09

• FINRA Chairman and CEO Rick Ketchum appears on CNBC’s “Closing Bell.”

  10.14.09

• FINRA Bars Former New York Broker for Defrauding Elderly Investor of More Than $500,000

  10.8.09

• FINRA Panel Bars New Jersey Broker for Misappropriating Funds From 97-Year-Old Widow's Charitable Foundation

  9.15.09