Financial Industry Regulatory Authority (FINRA):
The Largest Independent Securities Regulator in the US

Recently Released!!!
Date Published: March 2012
Comprehensive PPT Deck: 34 Slides
Summary PPT Deck: 27 Slides

Financial Industry Regulatory Authority (FINRA) was founded as the National Association of Securities Dealers in 1939 and is based in Washington, DC. The company has 22 offices, 3,000 employees, 4,620 brokerage firms, 165,920 brokerage firm branches, and 636,340 brokerage firm registered securities representatives. Financial Industry Regulatory Authority (FINRA) is led by its CEO Rick Ketchum. Its web site can be found at

Financial Industry Regulatory Authority (FINRA)'s comprehensive Power Point deck below includes a synopsis of its history, including its key phases:
  • National Association of Securities Dealers Phase
  • Financial Industry Regulatory Authority Phase
  • Recent Phase
Its profile includes the key statistics of the firm, including offices, employees, clients, assets under administration, revenues, & net profits.
Its profile includes detailed outlines of its core services:
  • Writing Rules
  • Registering & Educating Industry Participants
  • Examining Securities Firms
  • Enforcing its Rules & the Federal Securities Laws
  • Providing Trade Reporting & Other Industry Utilities
  • Administering Dispute Resolution Forum for Investors & Registered Firms
  • Informing & Educating the Investing Public
  • Regulating Securities Markets Under Contract
And its profile concludes with the highlights of its organizational structure & ownership.

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