Item: Shepherd Smith Edwards & Kantas, LLP
Rating: 5
Author: M.B.

What Is FINRA and What Can FINRA Do for Securities Litigation?

Video Summary: FINRA is a Self-Regulatory Organization or “SRO” for short.

Video Transcript:

FINRA stands for financial industry regulatory authority. It's the entity that regulates all the brokerage firms and the brokers. There are two divisions at FINRA. One does the regulation. The second division is FINRA dispute resolution and that administers all the arbitrations. So when you file a case against a brokerage firm, it's going to go through the FINRA arbitration process.

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