What's New

8.20.08 Regulatory Notice SEC Approves Expanding Disseminated Real-Time TRACE Data

8.18.08 New Podcast: Improving Exam Results - Part 2 This podcast is the second in a two-part series on improving examination results

8.15.08 Regulatory Notice Guidance on Transactions in TRACE-Eligible Securities Under SEC Rule 144

8.14.08 Exam Programs and Exam Priorities This on-demand video presentation focuses on FINRA's examination program and covers sales practice, financial and operational, and market regulation areas.

8.14.08 Fall Securities Conference Carlsbad, CA- October 22 -24, 2008 Registration is Open

8.14.08 NY Regulation and Compliance Conference New York, NY - September 9, 2008 Discounted Registration Rates End August 29, 2008

Archive of Recent Announcements

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FINRA Investor Information helps you make more informed investment decisions.

FINRA BrokerCheck Learn about the background, status and disciplinary history of firms and brokers.

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Investor Complaint Center If you believe you have been the subject of unfair or improper business conduct by a brokerage firm or broker, you may file an investor complaint with FINRA.

Investor Claims Funds Information about claims funds and restitution that investors may be eligible to receive.