Statements (53)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:legislation
|
| gptkbp:appliesTo |
broker-dealers
registered representatives |
| gptkbp:covers |
advertising
conflicts of interest continuing education supervision dispute resolution insider trading market manipulation sales practices arbitration background checks mediation disclosure requirements anti-money laundering customer complaints recordkeeping registration requirements margin requirements net capital requirements private securities transactions trade reporting licensing exams books and records best execution customer account information branch office inspections continuing membership application customer protection order handling outside business activities reporting of disciplinary actions |
| gptkbp:enforcedBy |
gptkb:Financial_Industry_Regulatory_Authority
|
| gptkbp:establishedBy |
gptkb:Financial_Industry_Regulatory_Authority
|
| https://www.w3.org/2000/01/rdf-schema#label |
FINRA regulations
|
| gptkbp:includes |
Rule 2111 (Suitability)
Rule 2210 (Communications with the Public) Rule 3110 (Supervision) Rule 3270 (Outside Business Activities) Rule 4512 (Customer Account Information) Rule 4530 (Reporting Requirements) Rule 8210 (Provision of Information and Testimony) Rule 3310 (Anti-Money Laundering Compliance Program) |
| gptkbp:purpose |
protect investors
ensure market integrity |
| gptkbp:regulates |
securities industry
|
| gptkbp:subject |
SEC oversight
|
| gptkbp:violationConsequences |
expulsion
fines suspension |
| gptkbp:bfsParent |
gptkb:BREIT
|
| gptkbp:bfsLayer |
7
|