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

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    FINRA regulates brokers and brokerage firms in the United States only.
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    Non-compliance could result in fines, expulsions, and suspensions.
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    FINRA requires all businesses offering brokerage services to be licensed and registered.
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