FINRA, or the independent Financial Industry Regulatory Authority, operates from Washington, DC, and New York City, with fifteen District Offices.
It’s involved with registering and educating the industry. It examines securities firms; along with writing and enforcing securities rules. FINRA also informs and educates the investing public, and provides trade reporting and 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 International Securities Exchange and Chicago Climate Exchange.
However, they are of help only to those who constantly are aware of investment principles. (See the Earl J. Weinreb NewsHole® comments and @BusinessNewshole at Twitter.)
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