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

This page was created on 29-Nov-2024 16:16 by unknown

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Financial Industry Regulatory Authority Inc
Financial Industry Regulatory Authority Inc

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At line 5 changed one line
[{$pagename}] is the successor to the [National Association of Securities Dealers], Inc. ([NASD]) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange.
[{$pagename}] 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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The [United States Federal Agency] which acts as the ultimate [Regulatory Agencies] of the securities industry, including [{$pagename}], is the [United States Securities and Exchange Commission].
At line 10 added 10 lines
Working under the supervision of the [United States Securities and Exchange Commission], we:
* __Write and enforce rules __governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S.;
* __Examine [Financial Organizations] for compliance __with those rules;
* __Foster market transparency__; and
* __Educate investors__.
The [United States Federal Agency] which acts as the ultimate [Regulatory Agencies] for the securities industry, including [{$pagename}], is the [United States Securities and Exchange Commission].
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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