What is a FINRA broker?

The Financial Industry Regulatory Authority (FINRA) is a private organization which works with the U.S. Securities and Exchange Commission (SEC) to regulate the buying and selling of investment opportunities.

A FINRA broker is a professional overseen by a brokerage firm and FINRA when representing investor clients in the buying or selling of “securities” - stocks, bonds, investment opportunities, and more. FINRA, although independent of the broker, strictly monitors their activity when representing clients to ensure all transactions are compliant with U.S. law.