What is difference between FINRA and SEC?

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07-12-2022
Business

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What is difference between FINRA and SEC?

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smecloudbird17 smecloudbird17 · Answer 1 · 2022-12-14T01:18:21-05:00

FINRA is a Financial Industry Regulatory Authority and SEC is a Securities and Exchange Commission.

The Financial Industry Regulatory Authority (FINRA) is a non-governmental organization that regulates the financial industry in the United States. The Securities and Exchange Commission (SEC) is a government agency that regulates the securities industry in the United States.

Both organizations have different functions, but they work together to oversee the financial industry and protect investors. FINRA is a self-regulatory organization, meaning that it is overseen by the SEC but is not part of the government. FINRA is funded by member firms through assessments and fees.

To know more about FINRA, click here.

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