Financial Industry Regulatory Authority (FINRA)

Overview

Supervised Firms

Jurisdiction & Tier

A self-regulatory organization overseeing US broker-dealers, enforcing rules governing registered broker-dealer activity, and protecting investors.

• Financial Conduct Authority (FCA)
• Cyprus Securities and Exchange Commission (CySEC)
• Australian Securities and Investments Commission (ASIC)
• Securities and Exchange Commission (SEC)
• Financial Sector Conduct Authority (FSCA)
• Bermuda Monetary Authority (BMA)
• Cayman Islands Monetary Authority (CIMA)
• British Virgin Islands Financial Services Commission (BVI FSC)