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Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,000 brokerage firms, about 174,000 branch offices and approximately 676,000 registered securities representatives.

Use its BrokerCheck tool to check a broker's license. Or, file a complaint at FINRA's Investor Complaint Page

To read about how FINRA protect the investing public, visit the website below.

Visit: Financial Industry Regulatory Authority (FINRA)

 
 

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