Properties (53)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:European_Union_Regulation
|
| gptkbp:collaborates_with |
gptkb:SEC
|
| gptkbp:collectibility |
fines and penalties
|
| gptkbp:conducts |
research
financial audits investigations market surveillance |
| gptkbp:develops |
regulatory frameworks
|
| gptkbp:enforces |
securities rules
|
| gptkbp:formed |
2007
|
| gptkbp:has |
educational resources
code of conduct whistleblower protections membership requirements regional offices enforcement staff disclosure requirements investor protection programs publications on compliance Board_of_Governors |
| gptkbp:headquarters |
gptkb:Washington,_D.C.
|
| https://www.w3.org/2000/01/rdf-schema#label |
FINRA
|
| gptkbp:is_a |
self-regulatory organization
|
| gptkbp:is_a_member_of |
gptkb:International_Organization_of_Securities_Commissions
|
| gptkbp:is_funded_by |
member fees
|
| gptkbp:is_governed_by |
federal law
|
| gptkbp:is_involved_in |
policy advocacy
international regulatory cooperation |
| gptkbp:issues |
regulatory notices
disciplinary actions guidance on regulations trade reports |
| gptkbp:manages |
gptkb:FINRA_Foundation
|
| gptkbp:monitors |
market activities
|
| gptkbp:offers |
certification programs
webinars online tools |
| gptkbp:operates |
dispute resolution forum
|
| gptkbp:oversees |
continuing education programs
securities industry |
| gptkbp:predecessor |
gptkb:NASD
|
| gptkbp:promotes |
fair trading practices
|
| gptkbp:provides |
market data
investor education arbitration services complaint resolution services training for members tools for investors compliance resources |
| gptkbp:publishes |
annual reports
|
| gptkbp:regulates |
broker-dealers
|
| gptkbp:responsibleFor |
licensing brokers
|
| gptkbp:supports |
financial literacy initiatives
|