Brokers WatchRegulators
    Back to Regulators
    Tier 3
    Private Organization

    Financial Industry Regulatory Authority (FINRA)

    United States Est. 2007 finra.org

    A self-regulatory organization overseeing US broker-dealers, enforcing rules governing registered broker-dealer activity, and protecting investors.

    15
    Poor

    Regulated Companies (0)

    No companies currently regulated.

    Key People

    No key people listed yet

    User Reviews

    No reviews yet. Be the first to share your experience!

    FINRA FAQ

    Regulator Meter

    15/100
    Offshore
    High-Risk
    UnverifiedMid-TierTop-Tier

    2/7 disclosure criteria met

    Risk signals detected

    • No public license register
    • Client funds not required to be segregated
    • No public enforcement actions
    • Weak enforcement track record
    • Weak customer protection
    • Privately operated, offshore tier

    Regulatory Scope

    membership
    regulation
    supervision

    Quick Facts

    CountryUnited States
    Established2007
    Organization TypePrivate Organization
    TierTier 3
    CompensationSIPC up to $500,000
    Required Capital$250,000 minimum net capital
    Companies Regulated0