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Financial Industry Regulatory Authority

The Financial Industry Regulatory Authority (FINRA) is a U.S. self-regulatory organization that oversees brokerage firms and their registered personnel.

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The Financial Industry Regulatory Authority (FINRA) is a securities-industry self-regulatory organization headquartered in Washington, D.C. It was formed in 2007 by combining the National Association of Securities Dealers with the New York Stock Exchange’s member-regulation operations. It oversees compliance by brokerage firms and registered personnel and administers qualification exams.

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