Take a Financial Advisor Quiz. When you choose to invest, you typically do so through a registered broker or broker-dealer that is licensed to trade stocks, bonds and other securities. These ...

The Financial Industry Regulatory Authority, also known as FINRA, helps protect investors by regulating brokers in the United States. It does this through rulemaking, enforcement, investigations and ...

FINRA's mission is protecting investors and ensuring the integrity of U.S. securities markets. Have you ever wondered who protects investors -- and how? If you invest, it can pay to know about FINRA, ...

Together, they tackle the long-standing — and long-criticized — Pattern Day Trading (PDT) Rule from FINRA, which requires U.S. traders to keep $25,000 in their accounts to make more than three day ...

The Financial Industry Regulatory Authority (FINRA)’s Board of Governors has approved a major overhaul of its pattern day ...

The penalty, one of the biggest against a robo-advisor, comes after Ally reportedly failed to preserve more than 22 million ...

Editorial Note: We earn a commission from partner links on Forbes Advisor. Commissions do not affect our editors' opinions or evaluations. The Financial Industry Regulatory Authority, also known as ...

Have you ever wondered who protects investors—and how? If you invest, it can pay to know about FINRA, the Financial Industry Regulatory Authority. FINRA is a not-for-profit organization authorized ...