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FINRA offers regulatory oversight over all securities firms that do business with the public, plus those offering professional training, testing, and licensing of registered persons, arbitration and mediation, market regulation by contract for the New York Stock Exchange, the NASDAQ Stock Market, Inc., the American Stock Exchange LLC, and the ...
In this list of financial regulatory and supervisory authorities, central banks are only listed where they act as direct supervisors of individual financial firms, and competition authorities and takeover panels are not listed unless they are set up exclusively for financial services.
The following is a list of the U.S. Financial Industry Regulatory Authority (FINRA), NASAA, and National Futures Association (NFA) financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels. An asterisk designates that there is no sponsorship requirement ...
Notice to LPL Customers: The Securities Arbitration Law Firm of Klayman & Toskes Continues to Investigate and Pursue Claims Against LPL Financial as FINRA Levies $9 Million Fine NEW YORK ...
Pages in category "Arbitrators" The following 18 pages are in this category, out of 18 total. This list may not reflect recent changes. A. Fabian Ajogwu; Kayode Ajulo;
The London Court of International Arbitration. An arbitral tribunal or arbitration tribunal, also arbitration commission, arbitration committee or arbitration council is a panel of unbiased adjudicators which is convened and sits to resolve a dispute by way of arbitration.
The Financial Industry Regulatory Authority describes itself as "an independent regulatory organization empowered by the federal government to ensure that America's 90 million investors are ...
Arbitration, in the context of the law of the United States, is a form of alternative dispute resolution.Specifically, arbitration is an alternative to litigation through which the parties to a dispute agree to submit their respective evidence and legal arguments to a third party (i.e., the arbitrator) for resolution.