FINRA regulator
Overview
FINRA is a non-governmental organization that regulates member brokerage firms and exchange markets in the United States. It operates under the oversight of the SEC to enforce rules on securities trading, broker conduct, and market integrity.
Within the DeFi Intel graph, FINRA connects to 3 tracked entities, most strongly to Securitize Markets, Circle, SEC Approves Elimination of Pattern Day Trader Rule and $25,000 Minimum: FINRA.
Relations
Top connections in the DeFi Intel knowledge graph (confidence-weighted, 3 of 3 total).
| Relation | Connected entity | Confidence |
|---|---|---|
registered_with | Securitize Markets | 95% |
regulated_by | Circle | 90% |
covers | SEC Approves Elimination of Pattern Day Trader Rule and $25,000 Minimum: FINRA | 70% |
Frequently asked questions
What is FINRA?
FINRA is a non-governmental organization that regulates member brokerage firms and exchange markets in the United States, operating under the oversight of the SEC.
Who regulates FINRA?
FINRA operates under the oversight of the SEC.
Which entities are connected to FINRA?
FINRA is connected to Securitize Markets (registered with FINRA), Circle (regulated by FINRA), and the SEC Approves Elimination of Pattern Day Trader Rule and $25,000 Minimum (covered by FINRA).