Financial Industry Regulatory Authority

URI: https://gptkb.org/entity/Financial_Industry_Regulatory_Authority
GPTKB entity
AI-created image of Financial Industry Regulatory Authority
AI-created image
Statements (36)
Predicate Object
gptkbp:instanceOf gptkb:government_agency
gptkbp:abbreviation gptkb:FINRA
gptkbp:country gptkb:United_States
gptkbp:enforcedBy FINRA rules
MSRB rules
federal securities laws
gptkbp:formed 2007
gptkbp:headquarters_location gptkb:New_York_City
gptkb:Washington,_D.C.
https://www.w3.org/2000/01/rdf-schema#label Financial Industry Regulatory Authority
gptkbp:jurisdiction gptkb:United_States
gptkbp:language English
gptkbp:leader gptkb:Robert_W._Cook
gptkbp:leaderTitle CEO
gptkbp:numberOfEmployees over 3,000
gptkbp:numberOfIssues gptkb:Series_24_exam
gptkb:Series_63_exam
gptkb:Series_7_exam
gptkbp:oversees over 3,500 brokerage firms
over 600,000 registered representatives
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
Arbitration and mediation services
gptkbp:purpose regulation of member brokerage firms and exchange markets
gptkbp:regulates registered securities representatives
securities markets
broker-dealer firms
gptkbp:status not-for-profit
gptkbp:taxStatus 20-8120857
gptkbp:type gptkb:nonprofit_organization
gptkbp:website https://www.finra.org/
gptkbp:主要业务 gptkb:Board_of_Governors
gptkbp:bfsParent gptkb:Securities_and_Exchange_Commission
gptkbp:bfsLayer 3