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  1. Law Glossary

What Is the Financial Industry Regulatory Authority (FINRA)?

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What Is the Financial Industry Regulatory Authority (FINRA)?

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Financial Industry Regulatory Authority (FINRA)

FINRA is an independent, self-regulatory organization (SRO) that regulates and oversees its member brokers as well as the stock exchange markets.  FINRA reviews public offering filings and provides regulatory guidance on fair and reasonable underwriting arrangements.

Visit our Public Company Gateway and our IPO Portal for the latest legal and regulatory developments as well as key checklists, guides, and other pragmatic desktop tools.

Related Capabilities

  • Public Companies
  • Financial Innovation & Regulation
  • Financial Services
  • Financial Crimes Compliance

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The IPO Portal
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