What is FINRA

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.

Key takeaways

  • Check icon
    FINRA regulates brokers and brokerage firms in the United States only.
  • Check icon
    Non-compliance could result in fines, expulsions, and suspensions.
  • Check icon
    FINRA requires all businesses offering brokerage services to be licensed and registered.
  • Check icon
  • Check icon
Reviewed by
No items found.
UpGuard customer support teamUpGuard customer support teamUpGuard customer support team

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.
Deliver icon

Sign up to our newsletter

Get the latest curated cybersecurity news, breaches, events and updates in your inbox every week.
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.
  • Check icon
    Instant insights you can act on immediately
  • Check icon
    Hundreds of risk factors including email security, SSL, DNS health, open ports and common vulnerabilities
Website Security scan resultsWebsite Security scan rating