What Is FINRA?
The Financial Industry Regulatory Authority, the primary self-regulatory organization overseeing securities firms and brokers in the U.S. FINRA writes rules, conducts compliance examinations, and enforces standards through its Conduct Rules and Code of Arbitration. Most exam questions reference FINRA rules and oversight.
FINRA across 3 exams
FINRA appears on the following exams. Each defines it in the context candidates are tested on:
- SIE
- The Financial Industry Regulatory Authority, the primary self-regulatory organization overseeing securities firms and brokers in the U.S. FINRA writes rules, conducts compliance examinations, and enforces standards through its Conduct Rules and Code of Arbitration. Most exam questions reference FINRA rules and oversight.
- Series 24
- The Financial Industry Regulatory Authority, the self-regulatory organization that writes and enforces rules for broker-dealers and administers qualification exams such as the Series 24.
- Series 79
- The self-regulatory organization that oversees broker-dealers and administers qualification exams such as the Series 79.