FINRA the Financial Industry Regulatory Research Paper

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FINRA believes, however, in going beyond regulation. A stated mandate of FINRA is to improve investor education, because FINRA believes that "investor protection begins with education" (FINRA website, 2010). FINRA has set up an Investor Education Foundation, which in 2009 spend $46 million on improving investor education about the markets.

FINRA believes that the markets should be fair for all participants. The body feels that this will ensure investors have as many choices as possible for their money. In addition, FINRA believes in taking a proactive approach to regulatory issues, because this will enhance its mission of consumer protection (Ibid).

FINRA was set up by the two major exchanges in part because of the need to ensure that the markets are fair and are regulated efficiently and effectively.

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Stock markets today compete globally for capital and FINRA is a natural response to the need of U.S. markets to gain competitive advantage by having the best regulatory system possible. FINRA has a mandate to provide the strongest possible regulation while maintaining market efficiency, and without adding unnecessary cost burdens. The agency believes that consumer protection is the most important aspect of its role, and that protection comes not only from compliance enforcement but also from education of investors. FINRA has sought to expand its role to include insurance and investment advice from broker-dealers, as these functions are typically a part of consumer's investment plan.

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