Financial Industry Regulatory Authority
GPTKB entity
Properties (58)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
regulatory authority
|
| gptkbp:collaborates_with |
other regulatory bodies
|
| gptkbp:conducts |
investigations
financial literacy programs market surveillance |
| gptkbp:enforces |
securities laws
|
| gptkbp:established |
2007
|
| gptkbp:has |
a website
a code of conduct a board of governors a mission statement a strategic plan a public outreach program a staff of professionals a consumer hotline a whistleblower program a complaint process a public database a regulatory framework a dispute resolution forum |
| gptkbp:has_a_focus_on |
investor protection
|
| gptkbp:headquarteredIn |
gptkb:Washington,_D.C.
|
| gptkbp:headquarters |
gptkb:Washington,_D.C.
|
| https://www.w3.org/2000/01/rdf-schema#label |
Financial Industry Regulatory Authority
|
| gptkbp:is |
a non-profit organization
|
| gptkbp:is_a_key_player_in |
the_U.S._financial_system
|
| gptkbp:is_a_member_of |
the_International_Organization_of_Securities_Commissions
|
| gptkbp:is_a_source_of |
industry standards
|
| gptkbp:is_committed_to |
transparency
|
| gptkbp:is_funded_by |
fees from member firms
|
| gptkbp:is_governed_by |
gptkb:the_Securities_Exchange_Act_of_1934
|
| gptkbp:is_involved_in |
market research
financial education regulatory reform anti-fraud initiatives |
| gptkbp:is_known_for |
its enforcement actions
|
| gptkbp:is_recognized_for |
gptkb:the_U.S._Congress
its role in compliance. |
| gptkbp:issues |
rules and regulations
notices to members guidance on trading practices |
| gptkbp:mission |
to protect investors
|
| gptkbp:offers |
online resources
dispute resolution services webinars and seminars |
| gptkbp:operates |
under_the_authority_of_the_SEC
|
| gptkbp:oversees |
broker-dealers
|
| gptkbp:provides |
education and training
regulatory oversight market integrity guidance on compliance regulatory guidance information on investment products investor alerts tools for investors |
| gptkbp:publishes |
annual reports
|
| gptkbp:responsibleFor |
licensing broker-dealers
|
| gptkbp:serves |
the public interest
|