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Answers and Guides

How to Join the Industry, Take an Exam, or Contact FINRA: FINRA.org is the entry point for three different audiences: firms and individuals who want to join the securities industry or tak…
How FINRA Addresses Crypto Assets and Insider Trading Risk: FINRA handles these two risks through separate but complementary programs: a Crypto Hub that coordinates its regulatory work on m…
What Reports and Studies FINRA Publishes: Industry Snapshot, Regulatory Oversight Report, and More: FINRA publishes two featured recurring reports on FINRA.org: the Industry Snapshot, which summarizes data on FINRA-registered fir…
How to Check a Broker or Firm's Background and Disciplinary Record on FINRA.org: FINRA.org provides two separate lookup paths for this: BrokerCheck for researching a broker or firm's background, and a disciplin…
What FINRA.org Is and What FINRA Does: FINRA.org is the official website of the Financial Industry Regulatory Authority (FINRA), a not-for-profit, self-regulatory organ…