Category: Investor Protection

U.S. Securities and Exchange Commission (SEC) is the primary overseer and regulator of the U.S. securities markets. Its mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. Here the SEC is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud.

FINRA Broker Check is part of FINRA’s ongoing efforts to help investors make informed choices about the FINRA-registered brokers and brokerage firms with which they may wish to do business, as well as to provide the public with access to information about formerly registered brokers who, although no longer in the securities industry in a registered capacity, may work in other investment-related industries or may seek to attain other positions of trust with potential investors and about whom investors may wish to learn relevant information. The information contained in the reports is collected through the securities industry’s registration and licensing process.

Financial Industry Regulatory Authority (FINRA) is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry. FINRA is not part of the government. It’s an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.