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FINRA stands for the Financial Industry Regulatory Authority. This tends to be the first line of defense against a bad experience with a securities broker, and it also has many other benefits. FINRA is an independent nongovernmental organization that focuses on the root of problems, securities sold to investors, and selling them to investors. It is the single largest independent regulatory body for securities firms operating in the United States. It writes and enforces the rules governing broker-dealer and registered brokers firms in the United States.
The agency oversees about 4,200 brokerage firms, 162,000 branch offices, and 629,000 registered securities representatives. This organization monitors the products and services each of them offers, thereby safeguarding investors and the public s interests in general against fraud and bad practices. ....

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