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.
Reviewed by
No items found.
Author
Edward Kost
Reviewed by
See UpGuard In Action
Book a free, personalized onboarding call with one of our cybersecurity experts.
More from our blog
Learn more about the latest issues in cybersecurity.
What are Security Ratings? Cyber Performance Scoring Explained
What are Security Ratings? Cyber Performance Scoring Explained
This is a complete guide to security ratings and common use cases. Learn why security and risk management teams have adopted security ratings in this post.
Abi Tyas Tunggal
April 21, 2024
Sign up for our newsletter
Stay up-to-date on everything UpGuard with our monthly newsletter, full of product updates, company highlights, free cybersecurity resources, and more.
Free instant security score
How secure is your organization?
Request a free cybersecurity report to discover key risks on your website, email, network, and brand.
- Instant insights you can act on immediately
- Hundreds of risk factors including email security, SSL, DNS health, open ports and common vulnerabilities
