District 10 - Long Island - Half-Day Compliance Bootcamp 2018 | Financial Industry Regulatory Authority | 18 October 2018 | Two Jericho Plaza, 2nd Floor, Wing A Jericho, NY 11753

Finra provides the first line of oversight for broker-dealers and the first line of defense for investors by virtue of its comprehensive oversight program. Finra regulates both the firms and professionals selling securities in the United States and the U.s. securities markets. In this capacity, Finra writes and enforces its own rules, as well as enforcing federal securities rules and laws.