FINRA, the independent Financial Industry Regulatory Authority, operates from Washington, DC, and New York City, with 15 District Offices.
FINRA is involved with registering and educating industry participants. It examines securities firms; along with writing and enforcing securities rules.
FINRA also attempts to inform and educate the investing public, and provides trade reporting and other industry utilities. The Authority administers the dispute resolution forum for investors and registered firms.
The organization performs market regulation under contract for the NASDAQ Stock Market, the American Stock Exchange, the International Securities Exchange and Chicago Climate Exchange.
However, they are of help only to those who constantly are aware of investment principles on their own.
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