brokerage companies
What You Need to Know About FINRA Arbitrations
Financial Industry Regulatory Authority (FINRA) is an independent agency that regulates 4,500 brokerage firms, 163,000 branch offices, and 630,000 registered securities agents across the U.S. FINRA – formerly known as Securities Industry Regulatory Authority (SIRA) – provides licenses to firms and brokers that sell securities to members of the public. FINRA receives and reviews thousands […]