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Access the information, training and other resources you need to stay current and comply with FINRA rules and regulations.

 

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Learn about investing and how to build your financial knowledge. We offer articles, interactive tools, alerts and other resources that help you protect yourself.

FINRA is the largest independent regulator for all securities firms doing business in the United States. We oversee nearly 4,495 brokerage firms, 163,450 branch offices and 635,515 registered securities representatives. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.