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