FINRA oversight (for intermediaries)
GPTKB entity
Statements (18)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
regulatory oversight
|
| gptkbp:appliesTo |
broker-dealers
investment banks registered representatives |
| gptkbp:enforcedBy |
securities laws
industry rules |
| https://www.w3.org/2000/01/rdf-schema#label |
FINRA oversight (for intermediaries)
|
| gptkbp:includes |
arbitration
compliance monitoring market surveillance disciplinary actions registration requirements examination requirements |
| gptkbp:purpose |
market integrity
investor protection |
| gptkbp:regulates |
gptkb:FINRA
|
| gptkbp:bfsParent |
gptkb:Regulation_Crowdfunding_(Reg_CF)
|
| gptkbp:bfsLayer |
8
|