User:37and7/finra
American financial self-regulatory organization / From Wikipedia, the free encyclopedia
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) as well as the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. The U.S. government agency that acts as the ultimate regulator of the U.S. securities industry, including FINRA, is the U.S. Securities and Exchange Commission (SEC).
Quick Facts Predecessor, Founded ...
Financial Industry Regulatory Authority, Inc. | |
Predecessor | National Association of Securities Dealers (1939–2007) |
---|---|
Founded | July 30, 2007; 16 years ago (2007-07-30)[1] |
Headquarters | Washington, D.C., United States |
Key people |
|
Budget | US$1.4 billion (2023)[3] |
Employees | 4,200 (2023)[4] |
Close