FINRA

Outten & Golden attorneys have substantial experience with the application of FINRA’s rules to financial services professionals and arbitrating before FINRA. FINRA, or the Financial Industry Regulatory Authority, is the self-regulatory agency for stockbrokers in the United States. It sets rules for brokers and hosts most of the arbitrations between investors and brokers. FINRA was created in July 2007 and took over the duties of the old National Association of Securities Dealers (NASD).