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Is FINRA under the SEC?

The SEC was created under the Securities Exchange Act of 1934 and one of its responsibilities is to oversee FINRA, which was created in 2007. FINRA is a self-regulatory organization that oversees and regulates its members actions. Unlike the SEC, FINRA is not mandated by the U.S. government.

Is FINRA the government?

Although it acts as a governor of the industry, FINRA is a non-governmental organization. It is an independent regulatory body financial institutions must register with. The Securities and Exchange Commission (SEC) has given it the authority to discipline financial institutions with fines and other measures.

Who runs FINRA?

Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation.

Is FINRA a public or private company?

The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc.

What is the jurisdiction and authority of the SEC?

The SEC has sole authority to regulate and oversee all investment banks under the Banking Act of 1933 commonly called the Glass-Steagall Act. This jurisdiction and oversight covers licensing, compensation, filing, accounting, advertising, product offerings, and fiduciary responsibilities.

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Is Finra a government agency?

To protect investors and ensure the markets integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.

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