Industry Links

Below please find some helpful industry-related links:

The Financial Industry Regulating Authority:

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees about 4,345 brokerage firms, about 163,410 branch offices and approximately 635,145 registered securities representatives.


United States Securities and Exchange Commission:

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.


Municipal Securities Rulemaking Board (MSRB):

The mission of the MSRB is to protect investors, municipal entities and the public interest by promoting a fair and efficient municipal market, regulating firms that engage in municipal securities and advisory activities, and promoting market transparency


Electronic Municipal Market Access (EMMA):

The Electronic Municipal Market Access system, or EMMA, is a comprehensive, centralized online source for free access to municipal disclosures, market transparency data and educational materials about the municipal securities market. EMMA is an award-winning website, recognized by the National Federation of Municipal Analysts and the National Association of State Treasurers’ State Debt Management Network.