Search results
Results from the WOW.Com Content Network
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 to the member regulation, enforcement, and ...
A self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession.The regulatory authority could exist in place of government regulation, or applied in addition to government regulation.
The Maloney Act led to the creation of the National Association of Securities Dealers, Inc. – the NASD, which is a Self-Regulatory Organization (or SRO). The NASD had primary responsibility for oversight of brokers and brokerage firms, and later, the NASDAQ stock market.
This exam is administered by the Financial Industry Regulatory Authority (FINRA, previously known as the NASD). In order to take the exam, an individual must be sponsored by a member firm of either FINRA or a self-regulatory organization (SRO). The cost of the exam is $40.
In October 2018, the 250-question Series 7 exam was replaced by the current top-off exam that is now taken in conjunction with the SIE exam (a correlative change was made to the Series 6 exam). In order to take the exam, an individual must be sponsored by a member firm of either FINRA or a self-regulatory organization (SRO). [7]
National Association of Securities Dealers, the former name of the American self-regulatory organization for broker-dealers, now known as the Financial Industry Regulatory Authority (FINRA) Network-Attached Secure Disks, a 1997–2001 research project of Carnegie Mellon University, with the goal of providing cost-effective scalable storage ...
Trump Media & Technology Group wrote to Nasdaq CEO Adena Friedman alerting the exchange to "potential market manipulation" in the stock, it disclosed in a Friday filing with the Securities and ...
Alternative display facility (ADF) is an equity trading facility created in the United States by the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization (SRO). The ADF is an alternative to the exchange for publishing quotations and for comparing and reporting trades.