Financial Industry Regulatory Authority (FINRA)
GPTKB entity
Statements (57)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:regulations
|
| gptkbp:ceo |
gptkb:Robert_W._Cook
|
| gptkbp:collaborates_with |
other regulatory bodies
|
| gptkbp:collects |
fines and penalties
|
| gptkbp:conducts |
gptkb:market_research
investigations audits of member firms |
| gptkbp:enforces |
securities laws
|
| gptkbp:founded |
1939
|
| gptkbp:governed_by |
the Securities Exchange Act of 1934
|
| gptkbp:has |
a code of conduct
dispute resolution services a board of governors a research department a disciplinary process a consumer hotline a whistleblower program a regulatory framework a membership structure a public access system for records a public database of broker-dealers a regulatory compliance department |
| gptkbp:headquartered_in |
gptkb:Washington,_D._C.
|
| gptkbp:headquarters |
gptkb:New_York_City
|
| https://www.w3.org/2000/01/rdf-schema#label |
Financial Industry Regulatory Authority (FINRA)
|
| gptkbp:is_a_member_of |
the International Organization of Securities Commissions
|
| gptkbp:is_funded_by |
membership fees
|
| gptkbp:is_involved_in |
policy advocacy
|
| gptkbp:is_recognized_by |
gptkb:the_U._S._Congress
|
| gptkbp:issues |
rules and regulations
guidance on compliance regulatory notices notices to members |
| gptkbp:mission |
protect investors
ensure market integrity |
| gptkbp:offers |
certification programs
online tools for investors webinars and seminars |
| gptkbp:operates |
gptkb:FINRA_Foundation
gptkb:Securities_Industry_Regulatory_Council |
| gptkbp:oversees |
broker-dealers
|
| gptkbp:parent_organization |
gptkb:Securities_and_Exchange_Commission
|
| gptkbp:provides |
education and training
regulatory oversight market surveillance arbitration services complaint resolution services data on market activity information on investment products investor education resources |
| gptkbp:publishes |
annual reports
|
| gptkbp:regulates |
securities firms
|
| gptkbp:supports |
financial literacy initiatives
|
| gptkbp:type |
gptkb:non-profit_organization
|
| gptkbp:website |
www.finra.org
|
| gptkbp:bfsParent |
gptkb:Securities_Exchange_Commission
|
| gptkbp:bfsLayer |
4
|