Financial Industry Regulatory Authority
GPTKB entity
Statements (182)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:regulations
|
| gptkbp:abbreviation |
gptkb:FINRA
|
| gptkbp:ceo |
gptkb:Robert_W._Cook
|
| gptkbp:collaborates_with |
gptkb:Securities_and_Exchange_Commission
other regulatory bodies other regulatory agencies |
| gptkbp:conducts |
training programs
audits investigations public outreach programs market surveillance rulemaking processes research on market trends investigations of misconduct investor surveys |
| gptkbp:enforces |
securities laws
securities industry rules |
| gptkbp:established |
gptkb:2007
1938 |
| gptkbp:formed |
gptkb:2007
|
| gptkbp:funding |
fees from member firms
|
| gptkbp:governance |
gptkb:Board_of_Supervisors
|
| gptkbp:governed_by |
gptkb:United_States_federal_law
the Securities Exchange Act of 1934 |
| gptkbp:has |
gptkb:Investor_Education_Foundation
rules and regulations a code of conduct regional offices a board of governors arbitration services a mission statement a strategic plan a public outreach program a research department a public awareness campaign a public relations department a public affairs office rules for trading practices a diversity and inclusion program a consumer hotline a public comment process a public database of disciplinary actions a whistleblower program a technology department a complaint process a public database a regulatory framework a compliance department a code of arbitration procedure a public database of brokers a membership structure a risk assessment framework FINRA Rule 2111 FINRA Rule 2210 FINRA Rule 4512 a conflict of interest policy a cybersecurity program a mobile app for investors a complaint system a mission to protect investors a research and analysis team |
| gptkbp:headquartered_in |
gptkb:Washington,_D._C.
|
| gptkbp:headquarters |
gptkb:Washington,_D._C.
gptkb:New_York_City |
| https://www.w3.org/2000/01/rdf-schema#label |
Financial Industry Regulatory Authority
|
| gptkbp:investigates |
violations of securities laws
|
| gptkbp:is_a |
gptkb:non-profit_organization
key player in financial regulation. self-regulatory organization for the securities industry key player in the U. S. financial markets |
| gptkbp:is_a_member_of |
gptkb:International_Organization_of_Securities_Commissions
the Financial Services Regulatory Relief Act the International Organization of Securities Commissions |
| gptkbp:is_committed_to |
fair practices in the industry
|
| gptkbp:is_focused_on |
market transparency
|
| gptkbp:is_funded_by |
fees from member firms
|
| gptkbp:is_involved_in |
regulatory compliance
financial literacy initiatives anti-money laundering efforts financial literacy programs cybersecurity initiatives sustainable finance initiatives financial education programs financial fraud prevention regulatory reform discussions consumer protection efforts investor protection initiatives regulatory technology initiatives investor protection efforts financial fraud prevention efforts |
| gptkbp:is_known_for |
its transparency initiatives
its arbitration services |
| gptkbp:is_recognized_by |
gptkb:the_SEC
gptkb:the_U._S._Securities_and_Exchange_Commission |
| gptkbp:issues |
annual reports
rules and regulations fines and penalties guidance on compliance regulatory notices disciplinary actions fines enforcement actions guidance on regulations guidance notices guidance for compliance |
| gptkbp:manages |
the Broker Check tool
|
| gptkbp:member |
gptkb:Securities_Investor_Protection_Corporation
|
| gptkbp:membership |
broker-dealers
|
| gptkbp:mission |
protect investors
ensure market integrity promote market integrity |
| gptkbp:monitors |
financial practices
|
| gptkbp:number_of_employees |
approximately 3,000
|
| gptkbp:offers |
gptkb:educational_resources
training programs certification programs continuing education programs financial planning resources online tools educational resources for schools dispute resolution services resources for small businesses online tools for investors continuing education for professionals tools for compliance monitoring webinars for education continuing education for brokers webinars for investors educational resources for brokers |
| gptkbp:operates |
gptkb:FINRA_Foundation
gptkb:administration gptkb:FINRA_Dispute_Resolution |
| gptkbp:oversees |
gptkb:Securities_Investor_Protection_Corporation
broker-dealers the arbitration process |
| gptkbp:parent_organization |
gptkb:Securities_and_Exchange_Commission
|
| gptkbp:predecessor |
gptkb:NASD
|
| gptkbp:promotes |
market integrity
fair trading practices |
| gptkbp:provides |
regulatory oversight
market data financial education resources licensing for brokers dispute resolution services financial literacy resources guidance to firms investor education arbitration services complaint resolution services data to the public training for compliance officers information on retirement planning guidance on cybersecurity training for compliance professionals data on market activity information on investment products education for investors resources for investors tools for investors information on market trends tools for compliance monitoring information on market regulations tools for dispute resolution tools for financial advisors |
| gptkbp:publishes |
gptkb:reports
annual reports regulatory notices |
| gptkbp:purpose |
oversee brokerage firms and exchange markets
|
| gptkbp:regulates |
broker-dealers
securities firms |
| gptkbp:regulatory_compliance |
regulatory compliance
|
| gptkbp:responsible_for |
protecting investors
monitoring trading activities licensing brokers monitoring trading practices |
| gptkbp:supports |
financial literacy initiatives
investor protection initiatives |
| gptkbp:type |
gptkb:non-profit_organization
gptkb:administration |
| gptkbp:website |
www.finra.org
|
| gptkbp:bfsParent |
gptkb:Securities_and_Exchange_Commission
|
| gptkbp:bfsLayer |
3
|