Financial Industry Regulatory Authority

Financial Industry Regulatory Authority
1735 K St. NW
Washington, DC 20006-1500
Phone: 202-728-8000
Fax: 202-293-6260

FINRA Regulation, Inc.
9509 Key West Ave.
Rockville, MD 20850-3329 (Map)
Phone: 301-590-6500
Fax: 240-386-4893

FINRA used to be called The Financial Industry Regulatory Authority. It's the main private-sector regulator of the securities industry and can be thought of as the industry's own internal SEC in a way. The organization oversees more than 5000 brokerage firms and over 90,000 branch offices of those firms. FINRA licenses people to work in the securities industry and currently has over 600,000 registered.

The FINRA is the largest SRO — self regulatory organization — in the securities industry. It regulates trading in equities, corporate bonds, securities futures and options. It also disciplines brokers who break the rules. Importantly for Shepherd Smith Edwards & Kantas LTD LLP, the FINRA operates one of the main arbitration forums for dispute resolution between investors and brokers.

FINRA is the parent of the American Stock Exchange and owns the majority of the NASDAQ exchange.

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