# FINRA

*Regulation & Compliance — Finicade finance glossary*

FINRA is the self-regulatory body overseeing US broker-dealers and their registered representatives, operating under SEC supervision. It writes conduct rules, administers the licensing exams, and runs the arbitration forum where most customer disputes are resolved. Its BrokerCheck database lets anyone look up a broker's employment history, licences and disclosed complaints in about a minute.

**Also known as:** Financial Industry Regulatory Authority, self-regulatory organization

**Related terms:** [SEC](https://finicade.com/glossary/sec), [Broker-Dealer](https://finicade.com/glossary/broker-dealer), [Suitability](https://finicade.com/glossary/suitability), [Regulation Best Interest](https://finicade.com/glossary/regulation-best-interest), [Enforcement Action](https://finicade.com/glossary/enforcement-action)

Source: https://finicade.com/glossary/finra