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What is the process for filing a complaint with FINRA? A8. To file a complaint with FINRA, you must complete and submit a Complaint Form, which is available on the FINRA website. You can also file a complaint by calling the FINRA Complaint Center or submitting a written complaint by mail.
Can I find job opportunities at FINRA? A10. Yes, FINRA provides job opportunities through its careers page on the FINRA website. Available jobs include positions in regulatory oversight, technology, finance, and legal and compliance, among others.
What is the role of FINRA? A2. FINRA is responsible for ensuring that the securities markets operate fairly and smoothly. Its primary objective is to protect investors by setting standards for the conduct of brokers and brokerage firms.
How is FINRA funded? A3. FINRA is primarily funded through fees charged to member firms. These fees cover the costs of regulatory activity, examination, and enforcement, among other things.
How do I verify a broker's registration with FINRA? A5. You can verify a broker's registration by using FINRA's BrokerCheck tool, which allows you to search for brokers and brokerage firms and view their registration status and disciplinary history.
What is an arbitration claim with FINRA? A6. An arbitration claim with FINRA is a legal proceeding in which investors and brokerage firms can resolve disputes outside of court. FINRA facilitates the arbitration process and provides arbitrators to make decisions in cases where the parties cannot reach a settlement.
How does FINRA protect investors? A7. FINRA protects investors by setting rules and regulations for brokers and brokerage firms, conducting regular examinations to ensure compliance, and taking enforcement action against those who violate the rules. FINRA also provides education and resources to help investors make informed decisions about their investments.
How does FINRA enforce its rules? A9. FINRA enforces its rules through a variety of means, including disciplinary action against brokers and brokerage firms, fines, and revocation of licenses. FINRA also has the authority to refer cases to the SEC for further action.
What is FINRA? A1. FINRA stands for Financial Industry Regulatory Authority, which is a regulatory organization that oversees and regulates the securities industry in the United States.
What is the difference between FINRA and the SEC? A4. FINRA is a non-governmental organization that regulates the securities industry, while the SEC is a federal agency that also oversees the industry. FINRA regulates individual brokers and brokerage firms, while the SEC regulates the markets and sets rules for the securities industry as a whole.