Statements (71)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:administration
|
| gptkbp:collects |
fines from violations
|
| gptkbp:conducts |
investigations
market surveillance research on market trends |
| gptkbp:enforces |
securities rules
securities industry rules |
| gptkbp:established |
gptkb:2007
|
| gptkbp:founded_in |
gptkb:2007
|
| gptkbp:governed_by |
the Securities Exchange Act of 1934
|
| gptkbp:has |
a code of conduct
a board of governors a strategic plan a public outreach program a research department a public website a consumer hotline a public comment process a public database of disciplinary actions a whistleblower program a technology department a consumer education program a dispute resolution forum a public advisory committee a public database of broker-dealers a membership of broker-dealers a public forum for feedback a public reporting system |
| gptkbp:headquarters |
gptkb:Washington,_D._C.
|
| https://www.w3.org/2000/01/rdf-schema#label |
FINRA
|
| gptkbp:is_a_member_of |
the Financial Industry Regulatory Authority
|
| gptkbp:is_funded_by |
fees from member firms
|
| gptkbp:is_involved_in |
financial literacy initiatives
anti-money laundering efforts compliance audits cybersecurity initiatives regulatory reform efforts market integrity initiatives consumer protection efforts investor protection initiatives financial fraud prevention efforts |
| gptkbp:issues |
guidance on regulations
regulatory fines |
| gptkbp:offers |
certification programs
online courses dispute resolution services mediation services educational webinars tools for risk assessment arbitration services resources for small firms |
| gptkbp:operates |
the Central Registration Depository (CRD)
|
| gptkbp:oversees |
market activities
securities industry |
| gptkbp:predecessor |
gptkb:NASD
|
| gptkbp:provides |
investor education
online tools for investors information on investment scams training for industry professionals information on investment products tools for compliance monitoring guidance on ethical practices compliance resources information on market regulations |
| gptkbp:publishes |
annual reports
regulatory notices |
| gptkbp:regulates |
broker-dealers
|
| gptkbp:responsible_for |
licensing of brokers
|
| gptkbp:works_with |
gptkb:the_SEC
|
| gptkbp:bfsParent |
gptkb:Financial_Industry_Regulatory_Authority
|
| gptkbp:bfsLayer |
4
|