FINRA Explained: The Watchdog Protecting Investors and Keeping Wall Street Honest… But are they?

FINRA – the Financial Industry Regulatory Authority – is the watchdog that oversees U.S. brokers, broker-dealers, and securities markets. In this video, we break down how FINRA protects investors, enforces rules, monitors trading, and handles complaints. From the Suitability Rule to anti-money laundering safeguards, discover how FINRA keeps Wall Street accountable.
You’ll also learn:
✅ FINRA’s relationship with the SEC
✅ Key rules every broker must follow
✅ How investor complaints and disputes are handled
✅ The process for restitution when misconduct is found
If you invest, trade, or just want to understand how U.S. markets are regulated, this is a must-watch.
🔎 Learn more at: FINRA.org