Financial Industry Regulatory Authority, Inc. (FINRA)

About Financial Industry Regulatory Authority, Inc. (FINRA)

FINRA is a private, non-governmental self-regulatory organization that regulates member brokerage firms and exchange markets in the United States, and it operates under the supervision of the Securities and Exchange Commission. It was formed in 2007 through the consolidation of the National Association of Securities Dealers (NASD) and certain New York Stock Exchange regulatory functions. Its work includes writing and enforcing rules for registered broker-dealers, examining securities firms, administering qualification exams for securities professionals, and providing the BrokerCheck tool so investors can review the background of brokers and firms.

FINRA also runs dispute resolution services, including an arbitration forum for disputes between customers and member firms and a mediation program. Its Dispute Resolution Services office is at Brookfield Place in New York City, which administers hearings in a number of cities. FINRA's location listings also include an office in Jericho, New York, and the organization states that it operates from Washington, D.C. and New York.

Practice areas

Areas of work that Financial Industry Regulatory Authority, Inc. (FINRA) describes on its own website. They describe the organization as a whole, not the practice of any individual attorney listed below.

Organization profile based on its official website and public sources (reviewed October 29, 2026). Attorney list from the New York State Unified Court System registration data. Not affiliated with Financial Industry Regulatory Authority, Inc. (FINRA).

Registered attorneys

Registration status can change at any time. Confirm any attorney's current status through the official New York Attorney Search.