FINRA Regulatory Defense Attorneys
What is FINRA?
FINRA is an organization that is responsible for overseeing the activities of security firms and security brokers that are part of the organization. The United States Congress authorized FINRA to assist in the regulation of various aspects of the financial industry in the United States. The primary goal of FINRA is to drastically decrease the chances for unscrupulous organizations or people who attempt to take advantage of investors with honest intentions. FINRA accomplishes this by strategically overseeing those who are part of various financial markets.
The Board of Governors
The organization is headed by the Chief Executive Officer of NYSE Regulations as well as 11 individuals who are known as Public Governors. In addition, 10 other Governors, which include a Floor Member Governor, Independent Dealer, three Small Firm Governors, a Mid-Size Firm Governors, and three Large Firm Governors also head the organization, and these individuals are elected into their positions by other FINRA members.
| Leadership Position | Number |
| Chief Executive Officer of NYSE Regulations | 1 |
| Public Governors | 11 |
| Floor Member Governor | 1 |
| Independent Dealer | 1 |
| Small Firm Governors | 3 |
| Mid-Size Firm Governors | 1 |
| Large Firm Governors | 3 |
