FINRA Training & Tools

The Financial Industry Regulatory Authority (FINRA) is a private non-profit self-regulatory organization (SRO) authorized by Congress to protect investors. Formed in 2007, FINRA writes and enforces rules for securities brokers and dealers, ensures broker/dealer compliance and transparency, and educates investors.

Early Retirement Seminars 101: Smart Tips for Spotting Retirement Scams

BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms.

Protect Your Identity

Investor Tools, including:

  • Social Security Estimator (from the Social Security Administration)
  • Required Minimum Distribution Calculator
  • Risk Meter – see whether you are vulnerable to investment fraud
  • Scam Meter – see if that new investment opportunity might be a scam
  • Interactive Strategy Games