What's New

8.18.08 New Podcast: Improving Exam Results - Part 2 This podcast is the second in a two-part series on improving examination results

8.15.08 Regulatory Notice Guidance on Transactions in TRACE-Eligible Securities Under SEC Rule 144

8.14.08 Exam Programs and Exam Priorities This on-demand video presentation focuses on FINRA's examination program and covers sales practice, financial and operational, and market regulation areas.

8.14.08 Fall Securities Conference Carlsbad, CA- October 22 -24, 2008 Registration is Open

8.14.08 NY Regulation and Compliance Conference New York, NY - September 9, 2008 Discounted Registration Rates End August 29, 2008

8.13.08 News Release FINRA and NYSE Regulation Announce Agreement With Ten U.S. Exchanges to Strengthen Surveillance, Investigation and Enforcement to Prevent Insider Trading

Archive of Recent Announcements

Investor Resources

We Are FINRA We are the Financial Industry Regulatory Authority. Every day FINRA protects investors by working to keep the capital markets fair. More

Market Data Find Market Information About Corporate, Municipal, Treasury and Agency Bonds

FINRA Investor Information helps you make more informed investment decisions.

FINRA BrokerCheck Learn about the background, status and disciplinary history of firms and brokers.

Investor Alerts Get vital information about common scams, complicated products, and other investing problems.

Investor Tools    Mutual Fund Expense Analyzer    Retirement Calculator

Investor Complaint Center If you believe you have been the subject of unfair or improper business conduct by a brokerage firm or broker, you may file an investor complaint with FINRA.

Investor Claims Funds Information about claims funds and restitution that investors may be eligible to receive.