This page (revision-3) was last changed on 29-Nov-2024 16:16 by -jim

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Financial Industry Regulatory Authority Inc
Financial Industry Regulatory Authority Inc

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At line 2 changed one line
[{$pagename}] ([FINRA]) is a private corporation that acts as a [Self-regulatory Organization] ([SRO]). [{$pagename}] is the successor to the [National Association of Securities Dealers], Inc. ([NASD]) and the member regulation, enforcement and arbitration operations of the [New York Stock Exchange].
[{$pagename}] ([FINRA]) is a private corporation that acts as a [Self-regulatory Organization] ([SRO]).
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[{$pagename}] is a [Non-governmental Organization] that has [Compliance] requirements for member brokerage firms and exchange markets. Working under the supervision of the [United States Securities and Exchange Commission], we:
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* __Write and enforce rules __governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S.;
* __Examine [Financial Organizations] for compliance __with those rules;
* __Foster market transparency__; and
* __Educate investors__.The [United States Federal Agency] which acts as the ultimate [Regulatory Agencies] for the securities industry, including [{$pagename}], is the [United States Securities and Exchange Commission].
[{$pagename}] is the successor to the [National Association of Securities Dealers], Inc. ([NASD]) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange.
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[{$pagename}] is a [Non-governmental Organization] that has [Compliance] requirements for member brokerage firms and exchange markets.
The [United States Federal Agency] which acts as the ultimate [Regulatory Agencies] of the securities industry, including [{$pagename}], is the [United States Securities and Exchange Commission].
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[FINRA] reviews a firm’s [compliance] with [AML] rules under [FINRA Rule 3310|https://www.finra.org/rules-guidance/rulebooks/finra-rules/3310|target='_blank'], which sets forth minimum [standards] for a firm’s written [AML] [Regulatory compliance] program. The basic tenets of an [AML] [compliance] program under FINRA 3310 include the following.
[FINRA] reviews a firm’s [compliance] with [AML] rules under [FINRA Rule 3310], which sets forth minimum [standards] for a firm’s written [AML] [Regulatory compliance] program. The basic tenets of an [AML] [compliance] program under FINRA 3310 include the following.
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!! [{$pagename}] Rules
[{$pagename}] Rules are published at [FINRA Rules|https://www.finra.org/rules-guidance/rulebooks/finra-rules|target='_blank']
This page (revision-3) was last changed on 29-Nov-2024 16:16 by -jimTop