FINRA

URI: https://gptkb.org/entity/FINRA

GPTKB entity

AI-created image

Statements (60)

Predicate	Object
gptkbp:instanceOf	gptkb:government_agency
gptkbp:abbreviation	gptkb:FINRA
gptkbp:budget	over $1 billion
gptkbp:CEO	gptkb:Robert_W._Cook
gptkbp:country	gptkb:United_States
gptkbp:enforcedBy	FINRA rules MSRB rules federal securities laws
gptkbp:founded	2007
gptkbp:fullName	gptkb:Financial_Industry_Regulatory_Authority
gptkbp:hasChair	gptkb:Eric_Noll
gptkbp:headquartersLocation	gptkb:New_York_City gptkb:Washington,_D.C.
https://www.w3.org/2000/01/rdf-schema#label	FINRA
gptkbp:mainLanguage	English
gptkbp:membership	over 150,000 branch offices over 3,400 brokerage firms over 600,000 registered securities representatives
gptkbp:monitors	market integrity
gptkbp:nonProfitStatus	true
gptkbp:numberOfEmployees	over 3,000
gptkbp:numberOfIssues	gptkb:Series_24_exam gptkb:Series_63_exam gptkb:Series_7_exam
gptkbp:oversees	arbitration and mediation for securities disputes corporate bond markets trading on U.S. equity markets
gptkbp:parentOrganization	gptkb:U.S._Securities_and_Exchange_Commission
gptkbp:predecessor	gptkb:National_Association_of_Securities_Dealers gptkb:New_York_Stock_Exchange_Regulation
gptkbp:provides	gptkb:BrokerCheck_service dispute resolution investor education
gptkbp:purpose	regulation of member brokerage firms and exchange markets
gptkbp:regulates	broker-dealers OTC markets advertising and communications alternative trading systems anti-money laundering compliance cybersecurity compliance equity markets financial responsibility fixed income markets insider trading market manipulation municipal securities dealers private placement markets registered securities representatives sales practices securities firms trading activity
gptkbp:reportsTo	gptkb:U.S._Securities_and_Exchange_Commission
gptkbp:subsidiary	gptkb:FINRA_Dispute_Resolution,_Inc. gptkb:FINRA_Investor_Education_Foundation
gptkbp:taxStatus	13-4007861
gptkbp:type	gptkb:nonprofit_organization
gptkbp:website	https://www.finra.org/
gptkbp:bfsParent	gptkb:Edward_Jones_Investments gptkb:Financial_Industry_Regulatory_Authority
gptkbp:bfsLayer	4