Financial Industry Regulatory Authority (FINRA)

FINRA’s mission is to protect investors and promote market integrity in a manner that facilitates vibrant capital markets. Under the supervision of the U.S. Securities and Exchange Commission, FINRA advances this mission through a wide range of regulatory functions every day, including examining firms for compliance with regulatory requirements; providing tools and resources to aid in achieving compliance; conducting ongoing surveillance of trading in the U.S. securities markets for potential misconduct; bringing enforcement actions to address violations of industry rules and regulations; and providing industry-wide utilities such as disclosure and trade reporting facilities.

FINRA’s Office of Financial Innovation (OFI) is the central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new uses of financial technology (FinTech).