What is Finra Certification?

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FINRA, or The Financial INdustry Regulatory Authority, is the governing body behind all of these exams. They are the successor to the NASD (National Association of Securities Dealers) and are one of the biggest SROs on Wall Street. An SRO, for those that don't know, is a Self-Regulatory Organization.


The Financial Industry Regulatory Authority (FINRA) is a regulatory body charged with governing business between brokers, dealers and the investing public. FINRA's creation was the result of the merger of the New York Stock Exchange’s regulatory committee and the National Association of Securities Dealers.

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