Who is FINRA?

FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization under the umbrela of the Securities and Exchange Commission (SEC).

FINRA proctect investor by:
- 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

- Investors receive complete disclosure about the investment product before purchase

 

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