What Is the Financial Industry Regulatory Authority (FINRA)?

Описание: The Financial Industry Regulatory Authority (FINRA) is an independent organization that writes and enforces rules governing brokers and broker-dealer firms in the United States. FINRA oversees securities firms and their brokers, administers qualifying exams for securities professionals, takes disciplinary actions against violators, and provides resources to protect investors. Critics argue that FINRA may not be doing enough to protect investors and is too restrained in exercising its powers.
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