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About FINRA

 

FINRA is a not-for-profit organization authorized by Congress that is dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—brokerage firms doing business with the public in the United States.

FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. FINRA oversees more than 624,000 brokers across the country—and analyzes billions of daily market events.

FINRA’s mission to ensure that everyone can participate in the market with confidence.

 


 

Select FINRA Spokespeople

 

Photo of Rober Cook

Robert W. Cook
President and Chief Executive Office

Bio
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Photo of Stephanie Dumont

Stephanie Dumont
Executive Vice President, Market Regulation and Transparency Services

Bio
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Photo of Bill St. Louis

Bill St. Louis
Executive Vice President and
Head of Enforcement


Bio
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Photo of Audria Lee

Audria Pendergrass Lee
Vice President, Talent Acquisition and Chief Diversity Officer

Bio
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Photo of Steve Randich

Steve Randich
Executive Vice President
Chief Information Officer


Bio
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Photo of Greg Ruppert

Greg Ruppert
Executive Vice President
Member Supervision


Bio
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Photo of Jonathan Sokobin

Jonathan Sokobin
Executive Vice President and
Chief Economist


Bio
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Photo of Gerri Walsh

Gerri M. Walsh
President, FINRA Investor Education Foundation and
Senior Vice President, Investor Education


Bio
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Photo of Rainia Washington

Rainia L. Washington
Executive Vice President, Chief Human Resources Officer

Bio
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FINRA Images

Note: FINRA Images are available for non-commercial, editorial use by news organizations. For all others, please refer to our Terms of Use.

 

FINRA Corporate Logo

FINRA Foundation Logo

Rockville Ext

Brookfield Lobby


 

Annual Reports

 

 


 

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