The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates...

The Financial Conduct Authority (FCA) is a financial regulatory body in the United Kingdom. It operates independently of the UK Government and is financed...

self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession. The regulatory authority...

A regulatory agency (regulatory body, regulator) or independent agency (independent regulatory agency) is a government authority that is responsible for...

contracts. The Series 7 is administered by the Financial Industry Regulatory Authority (FINRA), an industry regulatory agency. The Series 7 exam ensures a baseline...

The Financial Services Authority (FSA) was a quasi-judicial body accountable for the regulation of the financial services industry in the United Kingdom...

financial planners (in the UK). In the United States, the Financial Industry Regulatory Authority provides an online tool designed to help understand professional...

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...

the National Association of Securities Dealers (now the Financial Industry Regulatory Authority) from 1989 onward. Finally, in December 1996, the NASD...

formerly the Canadian National Stock Exchange (CNSX) Euro-TLX Financial Industry Regulatory Authority (FINRA) FTSE Real-Time Index (FTSE) Hi-MTF Multilateral...

2023. "Broker Check Report: Jared John Birchall" (PDF). Financial Industry Regulatory Authority. Archived (PDF) from the original on July 21, 2023. Retrieved...

Cook, R. (4 January 2017). "2017 Regulatory and Examination Priorities Letter". Financial Industry Regulatory Authority. Retrieved 20 January 2018. Cook...

reputation for hard-edged business tactics. In 2016, the Financial Industry Regulatory Authority opened a review of Seaport Global Securities that included...

insurance and re-insurance industries in India. It was constituted by the Insurance Regulatory and Development Authority Act, 1999, an Act of Parliament...

The National Financial Regulatory Administration (NFRA) is the financial industry regulatory agency of China, under the State Council of the People's...

Series 79, is an examination administered by the U.S. Financial Industry Regulatory Authority (FINRA) for investment banking professionals. The examination...

president of the Longwood Company, a member firm of the Financial Industry Regulatory Authority.[citation needed] He was also president of Forward Funds...

Regulation Authority (APRA) is a statutory authority of the Australian Government and the prudential regulator of the Australian financial services industry. APRA...

support similar to a wirehouse. In the United States, the Financial Industry Regulatory Authority (FINRA) regulates and oversees the activities of brokerage...

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...

September 2011, the Financial Industry Regulatory Authority ordered Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. to pay...

recovered. Under rules of the regulatory SRO governing brokers and dealers—the Financial Industry Regulatory Authority (FINRA), the investors' and the...

United States Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (NASD), New York Stock Exchange (NYSE), and ten of the...

International Financial Services Centres Authority (IFSCA) is the regulatory body for the Indian special economic zones such as the GIFT International Financial Services...

forth by the U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority. Cloud computing File synchronization Hybrid cloud Virtual...

trading is all processed through ECNs including NYSE Arca. Financial Industry Regulatory Authority (FINRA) members who voluntarily enter quotations during...

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...

municipal entities as well. Like the Financial Industry Regulatory Authority (FINRA), the MSRB is a self-regulatory organization that is subject to oversight...

In the United States, a pattern day trader is a Financial Industry Regulatory Authority (FINRA) designation for a stock trader who executes four or more...

Networks, Cetera Advisors, and Cetera Financial Specialists agreed to pay the Financial Industry Regulatory Authority (FINRA) a $1 million fine following...