Why Was FINRA Created?
FINRA, or the Financial Industry Regulatory Authority, was created as a national organization that writes rules and regulations for professionals in the financial industry, licenses these individuals and organizations, and provides avenues for compensation and...
Where Are FINRA Arbitrations Held?
The Financial Industry Regulatory Authority (FINRA) creates rules and regulations for professionals in the financial industry. FINRA also creates pathways for the victims of bad financial advising, negligent brokerage, and other financial harms to seek compensation...
Who Do FINRA Rules Apply To?
The Financial Industry Regulatory Authority (FINRA) has rules and regulations that, unsurprisingly, govern the financial industry. But how far do these rules reach? It is important to understand if the financial advisor or stockbroker you are working with is governed...
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