The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates...
34 KB (3,633 words) - 16:53, 14 November 2024
The Financial Conduct Authority (FCA) is a financial regulatory body in the United Kingdom. It operates independently of the UK Government and is financed...
26 KB (2,387 words) - 16:20, 23 September 2024
self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession. The regulatory authority...
5 KB (521 words) - 15:34, 8 September 2024
contracts. The Series 7 is administered by the Financial Industry Regulatory Authority (FINRA), an industry regulatory agency. The Series 7 exam ensures a baseline...
7 KB (611 words) - 06:08, 12 September 2024
Stockbroker (category Financial services occupations)
financial planners (in the UK). In the United States, the Financial Industry Regulatory Authority provides an online tool designed to help understand professional...
18 KB (1,889 words) - 01:34, 25 September 2024
The Financial Services Authority (FSA) was a quasi-judicial body accountable for the regulation of the financial services industry in the United Kingdom...
43 KB (4,093 words) - 22:28, 26 September 2024
available. In the United States, based on rules by the Financial Industry Regulatory Authority, people who make more than 3 day trades per 5-trading-day...
32 KB (4,173 words) - 21:50, 17 November 2024
the National Association of Securities Dealers (now the Financial Industry Regulatory Authority) from 1989 onward. Finally, in December 1996, the NASD...
41 KB (3,911 words) - 02:35, 20 November 2024
formerly the Canadian National Stock Exchange (CNSX) Euro-TLX Financial Industry Regulatory Authority (FINRA) FTSE Real-Time Index (FTSE) Hi-MTF Multilateral...
16 KB (1,715 words) - 19:31, 31 July 2024
A regulatory agency (regulatory body, regulator) or independent agency (independent regulatory agency) is a government authority that is responsible for...
10 KB (1,040 words) - 15:01, 11 November 2024
2023. "Broker Check Report: Jared John Birchall" (PDF). Financial Industry Regulatory Authority. Archived (PDF) from the original on July 21, 2023. Retrieved...
17 KB (1,389 words) - 23:49, 1 November 2024
The National Financial Regulatory Administration (NFRA) is the financial industry regulatory agency of China, under the State Council of the People's...
5 KB (338 words) - 17:31, 16 September 2024
Chatham Asset Management (category Financial services company stubs)
reputation for hard-edged business tactics. In 2016, the Financial Industry Regulatory Authority opened a review of Seaport Global Securities that included...
5 KB (441 words) - 21:24, 5 November 2024
Cook, R. (4 January 2017). "2017 Regulatory and Examination Priorities Letter". Financial Industry Regulatory Authority. Retrieved 20 January 2018. Cook...
19 KB (2,236 words) - 11:21, 5 March 2024
September 2011, the Financial Industry Regulatory Authority ordered Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to pay...
13 KB (1,181 words) - 09:14, 5 November 2024
Series 79, is an examination administered by the U.S. Financial Industry Regulatory Authority (FINRA) for investment banking professionals. The examination...
2 KB (137 words) - 05:49, 29 December 2020
insurance and re-insurance industries in India. It was constituted by the Insurance Regulatory and Development Authority Act, 1999, an Act of Parliament...
14 KB (1,475 words) - 11:19, 8 September 2024
president of the Longwood Company, a member firm of the Financial Industry Regulatory Authority.[citation needed] He was also president of Forward Funds...
6 KB (544 words) - 18:53, 1 October 2024
support similar to a wirehouse. In the United States, the Financial Industry Regulatory Authority (FINRA) regulates and oversees the activities of brokerage...
30 KB (3,370 words) - 14:50, 13 November 2024
Securities Investor Protection Corporation (category Financial regulatory authorities of the United States)
recovered. Under rules of the regulatory SRO governing brokers and dealers—the Financial Industry Regulatory Authority (FINRA), the investors' and the...
21 KB (2,431 words) - 18:38, 6 November 2024
the CFA Program is bench-marked at Level 5 by NARIC The Financial Industry Regulatory Authority (FINRA) exempts candidates who have passed CFA Level I...
46 KB (4,825 words) - 21:29, 16 November 2024
or option products. This exam is administered by the Financial Industry Regulatory Authority (FINRA, previously known as the NASD). In order to take...
3 KB (243 words) - 05:34, 24 April 2023
United States Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (NASD), New York Stock Exchange (NYSE), and ten of the...
6 KB (491 words) - 21:27, 7 June 2024
Regulation Authority (APRA) is a statutory authority of the Australian Government and the prudential regulator of the Australian financial services industry. APRA...
15 KB (997 words) - 05:35, 28 October 2024
notice; however, it is the practice of the SEC and the Financial Industry Regulatory Authority (FINRA) to provide such notice. In addition, 80% of people...
4 KB (468 words) - 02:16, 11 November 2024
ShareFile (section Industry-specific features)
forth by the U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority. Cloud computing File synchronization Hybrid cloud Virtual...
14 KB (1,218 words) - 23:18, 4 November 2024
Municipal Securities Rulemaking Board (category Financial regulatory authorities of the United States)
municipal entities as well. Like the Financial Industry Regulatory Authority (FINRA), the MSRB is a self-regulatory organization that is subject to oversight...
7 KB (729 words) - 17:55, 4 July 2024
In the United States, the Financial Industry Regulatory Authority (FINRA) is a key regulator that sets rules how financial firms can interact with consumers...
13 KB (1,561 words) - 14:47, 13 November 2024
Securities Corporation until the firm was expelled by the Financial Industry Regulatory Authority in 2013. He was managing director of business and legal...
33 KB (3,050 words) - 08:11, 20 November 2024
Investment banking (redirect from Criticism of the investment banking industry)
subject to U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulation. The Dutch East India Company was the...
61 KB (6,243 words) - 11:07, 23 October 2024