Financial Industry Regulatory Authority

E3898
non-governmental organization securities regulator self-regulatory organization

The Financial Industry Regulatory Authority (FINRA) is a U.S. self-regulatory organization that oversees brokerage firms and their registered representatives to protect investors and maintain fair, orderly securities markets.

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All labels observed (2)

Label Occurrences
Financial Industry Regulatory Authority canonical 49
FINRA 1

Statements (47)

Predicate Object
instanceOf non-governmental organization ⓘ
securities regulator ⓘ
self-regulatory organization ⓘ
abbreviation Financial Industry Regulatory Authority self-linksurface differs ⓘ
surface form: FINRA
administers Series 63 exam ⓘ
Series 65 exam ⓘ
Series 66 exam ⓘ
Series 7 exam ⓘ
conducts examinations of member firms ⓘ
market surveillance ⓘ
country United States of America ⓘ
surface form: United States
dateFormed 2007 ⓘ
enforces federal securities laws for member firms ⓘ
securities industry rules ⓘ
formedByMergerOf National Association of Securities Dealers ⓘ
New York Stock Exchange member regulation operations ⓘ
hasRole front-line regulator for U.S. broker-dealers ⓘ
hasType not-for-profit organization ⓘ
headquartersLocation New York City ⓘ
Washington, D.C. ⓘ
industry securities industry regulation ⓘ
issues rules for broker-dealers ⓘ
jurisdiction U.S. securities industry ⓘ
legalStatus self-regulatory organization under U.S. securities laws ⓘ
mandateFrom U.S. Congress (indirectly through SEC oversight) ⓘ
offers arbitration between investors and broker-dealers ⓘ
dispute resolution services ⓘ
mediation services in securities disputes ⓘ
operates BrokerCheck ⓘ
Central Registration Depository ⓘ
FINRA Arbitration Forum ⓘ
Trade Reporting and Compliance Engine ⓘ
overseenBy Securities and Exchange Commission ⓘ
surface form: U.S. Securities and Exchange Commission
provides investor education ⓘ
licensing examinations for securities professionals ⓘ
purpose investor protection ⓘ
maintain fair securities markets ⓘ
maintain orderly securities markets ⓘ
promote market integrity ⓘ
regulates broker-dealers ⓘ
brokerage firms ⓘ
over-the-counter securities markets ⓘ
registered representatives ⓘ
securities professionals ⓘ
sector financial regulation ⓘ
supervisingAuthority Securities and Exchange Commission ⓘ
surface form: U.S. Securities and Exchange Commission
website https://www.finra.org ⓘ

Referenced by (50)

Full triples — surface form annotated when it differs from this entity's canonical label.

Securities and Exchange Commission → cooperatesWith → Financial Industry Regulatory Authority ⓘ
Chicago Stock Exchange → regulator → Financial Industry Regulatory Authority ⓘ
Financial Industry Regulatory Authority → abbreviation → Financial Industry Regulatory Authority self-linksurface differs ⓘ
this entity surface form: FINRA
Division of Enforcement → cooperatesWith → Financial Industry Regulatory Authority ⓘ
BrokerCheck → operator → Financial Industry Regulatory Authority ⓘ
Central Registration Depository → operator → Financial Industry Regulatory Authority ⓘ
Trade Reporting and Compliance Engine → operator → Financial Industry Regulatory Authority ⓘ
Trade Reporting and Compliance Engine → regulator → Financial Industry Regulatory Authority ⓘ
Series 7 exam → administeredBy → Financial Industry Regulatory Authority ⓘ
National Association of Securities Dealers → mergedInto → Financial Industry Regulatory Authority ⓘ
National Association of Securities Dealers → successorOrganization → Financial Industry Regulatory Authority ⓘ
National Association of Securities Dealers → dissolvedInto → Financial Industry Regulatory Authority ⓘ
FINRA Arbitration Forum → operatedBy → Financial Industry Regulatory Authority ⓘ
FINRA Arbitration Forum → regulatedBy → Financial Industry Regulatory Authority ⓘ
Series 65 exam → administeredBy → Financial Industry Regulatory Authority ⓘ
United States federal securities markets → regulatingAuthority → Financial Industry Regulatory Authority ⓘ
United States federal securities markets → selfRegulatoryOrganization → Financial Industry Regulatory Authority ⓘ
Division of Enforcement of the SEC → cooperatesWith → Financial Industry Regulatory Authority ⓘ
Regulation Crowdfunding → administeredBy → Financial Industry Regulatory Authority ⓘ
TD Ameritrade → regulator → Financial Industry Regulatory Authority ⓘ
Robinhood Markets → regulator → Financial Industry Regulatory Authority ⓘ
E-Trade → regulator → Financial Industry Regulatory Authority ⓘ
NYSE electronic trading platform → regulator → Financial Industry Regulatory Authority ⓘ
FINRA → fullName → Financial Industry Regulatory Authority ⓘ
CRD → maintainedBy → Financial Industry Regulatory Authority ⓘ
Investment Adviser Registration Depository → operator → Financial Industry Regulatory Authority ⓘ
Investment Adviser Registration Depository → usedBy → Financial Industry Regulatory Authority ⓘ
IARD → administeredBy → Financial Industry Regulatory Authority ⓘ
Form U4 → governingBody → Financial Industry Regulatory Authority ⓘ
Form BD → regulator → Financial Industry Regulatory Authority ⓘ
FINRA Technology Department → partOf → Financial Industry Regulatory Authority ⓘ
FINRA Technology Department → parentOrganization → Financial Industry Regulatory Authority ⓘ
TRACE → operatedBy → Financial Industry Regulatory Authority ⓘ
TRACE → regulator → Financial Industry Regulatory Authority ⓘ
TRACE → successorRegulator → Financial Industry Regulatory Authority ⓘ
TRACE → relatedOrganization → Financial Industry Regulatory Authority ⓘ
Securities Industry Essentials exam → administeredBy → Financial Industry Regulatory Authority ⓘ
FINRA Code of Arbitration Procedure → governingBody → Financial Industry Regulatory Authority ⓘ
North American Securities Administrators Association → collaboratesWith → Financial Industry Regulatory Authority ⓘ
Division of Trading and Markets of the SEC → oversees → Financial Industry Regulatory Authority ⓘ
subject surface form: Division of Trading and Markets
Bernard L. Madoff Investment Securities LLC Ponzi scheme → mainRegulator → Financial Industry Regulatory Authority ⓘ
Charles Schwab Corporation → regulator → Financial Industry Regulatory Authority ⓘ
Raymond James Financial → regulatoryAuthority → Financial Industry Regulatory Authority ⓘ
Municipal Securities Rulemaking Board → cooperatesWith → Financial Industry Regulatory Authority ⓘ
Market Abuse Unit → cooperatesWith → Financial Industry Regulatory Authority ⓘ
United States federal securities laws → enforcedBy → Financial Industry Regulatory Authority ⓘ
United States financial system → hasRegulator → Financial Industry Regulatory Authority ⓘ
HOOD → regulator → Financial Industry Regulatory Authority ⓘ
subject surface form: Robinhood Markets, Inc.
Robinhood Securities LLC → regulator → Financial Industry Regulatory Authority ⓘ
ETFC → regulator → Financial Industry Regulatory Authority ⓘ
subject surface form: E*TRADE Financial Corporation