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Financial Industry Regulatory Authority (FINRA)
URI:
https://gptkb.org/entity/Financial_Industry_Regulatory_Authority_(FINRA)
GPTKB entity
Statements (50)
Predicate
Object
gptkbp:instanceOf
gptkb:government_agency
gptkbp:abbreviation
gptkb:FINRA
gptkbp:CEO
gptkb:Robert_W._Cook
gptkbp:country
gptkb:United_States
gptkbp:disciplinary_actions
against member firms and individuals
gptkbp:employs
over 3,000 people
gptkbp:enforcedBy
FINRA rules
federal securities laws
Municipal Securities Rulemaking Board rules
gptkbp:founded
2007
gptkbp:fundedBy
regulatory fines
user fees
member fees
gptkbp:hasChair
gptkb:Eileen_Murray
gptkbp:headquarters_location
gptkb:New_York_City
gptkb:Washington,_D.C.
https://www.w3.org/2000/01/rdf-schema#label
Financial Industry Regulatory Authority (FINRA)
gptkbp:language
English
gptkbp:legalStatus
gptkb:nonprofit_organization
gptkbp:membership
mandatory for broker-dealers in the U.S.
gptkbp:monitors
trading activity
gptkbp:numberOfIssues
gptkb:Series_24_exam
gptkb:Series_63_exam
gptkb:Series_7_exam
gptkbp:organization
gptkb:nonprofit_organization
gptkbp:oversees
over 3,400 brokerage firms
over 600,000 registered securities representatives
compliance of member firms
gptkbp:parentOrganization
gptkb:U.S._Securities_and_Exchange_Commission
gptkbp:predecessor
gptkb:National_Association_of_Securities_Dealers_(NASD)
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
alternative trading systems
corporate bond markets
equity markets
municipal securities dealers
private placement markets
registered securities representatives
securities markets
broker-dealer firms
over-the-counter (OTC) markets
gptkbp:taxStatus
13-4007861
gptkbp:website
https://www.finra.org/
gptkbp:主要职责
protecting investors
ensuring market integrity
gptkbp:bfsParent
gptkb:Dealer_(who_acts_as_principal)
gptkb:Retail_Investors
gptkbp:bfsLayer
6