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We do this so that investors are safe, while having the opportunity to participate in America’s capital markets. Featured 2024 FINRA Annual Regulatory Oversight Report 2023 Industry Snapshot FINRA Provides Update on Sweep: Social Media Influencers, Customer Acquisition … MACHINE READABLE RULEBOOK Try the FINRA Rulebook Search Tool™ (FIRST™) BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms. By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use. Working to Advance Racial Justice FINRA categorically rejects racism and discrimination of any kind. Learn how we’re taking action to promote diversity, equity and inclusion (DEI) within our organization, our industry and in our communities. Learn More WHAT’S NEW News Release FINRA Promotes Michael Solomon to Executive Vice President of Examinations and Membership Application Program May 13, 2024 Guidance Frequently Asked Questions about Remote Inspections Pilot Program May 13, 2024 Rule Filing Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists May 13, 2024 Technical Notice FINRA T+1 Settlement User Acceptance Test (UAT) May 10, 2024 Guidance Frequently Asked Questions About Advertising Regulation May 10, 2024 View More of What’s New market events processed since this page was loaded.* *Based on FINRA processing an average of 67 billion electronic records per day. 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