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Financial Industry Regulatory Authority
Purpose
FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.
Mission
FINRA work every day to ensure that everyone can participate in the market with confidence.
Every investor receives the basic protections they deserve;
anyone who sells a securities product has been tested, qualified and licensed;
Every securities product advertisement used is truthful, and not misleading;
Any securities product sold to an investor is suitable for that investor's needs; and
Investors receive complete disclosure about the investment product before purchase.
Every investor receives the basic protections they deserve;
anyone who sells a securities product has been tested, qualified and licensed;
Every securities product advertisement used is truthful, and not misleading;
Any securities product sold to an investor is suitable for that investor's needs; and
Investors receive complete disclosure about the investment product before purchase.
Values
- Collaboration
- We are a diverse team that works closely together and with all of our stakeholders.
We are one FINRA, bringing together individuals and resources from across the organization to achieve what is best for FINRA's mission.
We prize openness, thoughtful listening, and diverse perspectives while sharing information freely and proactively with one another.