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What does FINRA do?

FINRA is a private, non-profit company that regulates its member stock brokerage firms and exchange markets, and is the largest independent regulator of securities firms in the United States. Its primary mission is to protect all investors by ensuring integrity within the investing community that now comprises approximately 4,215 securities firms and 633,000 brokers. FINRA is responsible for writing and enforcing rules, examining securities firms to ensure they are complying with those rules, supporting transparency in the markets, assisting investors by providing educational resources, and providing trade reporting. FINRA also administers the Series 7 examination that, when passed, allows brokers to be licensed to trade in securities.


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