Carly Griffin
Principal Analyst, Office of Regulatory Liaison at FINRA (Financial Industry Regulatory Authority) - Washington, District of Columbia, US
Carly Griffin's Colleagues at FINRA (Financial Industry Regulatory Authority)
Carly Griffin's Contact Details
(301) 590-6500
Greater Chicago Area
FINRA (Financial Industry Regulatory Authority)
Carly Griffin's Company Details
FINRA (Financial Industry Regulatory Authority)
Washington, District of Columbia, US • 6148 EmployeesFinancial Services
The Financial Industry Regulatory Authority, or FINRA, is dedicated to investor protection and market integrity. We regulate one critical part of the securities industry—brokerage firms doing business with the public in the United States. We carry out our mission by overseeing virtually every aspect of the brokerage industry. Every day, we work to: • write and enforce rules governing 3,900 firms and 635,000 brokers; • examine firms for compliance with those rules; • foster market transparency; and • inform the investing public. With 3,600 employees working in communities all across the nation, we are the first line of defense for investors.