Millions of securities transactions of all types and sizes take place every day in the United States. You may invest in mutual funds through your 401k at work, or engage in derivatives trading through your online brokerage account. Fortunately, a plethora of information is available to you regarding your transactions and investments. The financial firms with whom you transact business also have great incentive to treat you fairly.
Although the Securities and Exchange Commission (SEC) is primarily responsible for creating this “safe” trading environment, another organization known as FINRA acts as the first line of defense in protecting investors and regulating the securities industry.