Action must be taken to make Finra more accountable

September 5, 2017 by Editorial Staff

The Financial Industry Regulatory Authority Inc.’s mission is to protect investors from fraud and bad practices. It does this by writing and enforcing rules and regulations governing the nation’s 3,700 broker-dealers and the 631,000 brokers who are affiliated with them.

Finra expects its members to operate with complete transparency, especially when it comes to the products and services they offer to investors. Finra is also diligent about exposing the transgressions of broker-dealers through its BrokerCheck system.

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Originally Posted at InvestmentNews on September 2, 2017 by Editorial Staff.