FINRA is a U.S. organization that oversees the protection of brokerage customer data from compromise.
To ensure compliance from brokers, FINRA requires entities offering brokerage services to be licensed and registered.
What is FINRA
Key takeaways
FINRA regulates brokers and brokerage firms in the United States only.- Non-compliance could result in fines, expulsions, and suspensions.
- FINRA requires all businesses offering brokerage services to be licensed and registered.
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