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  2. Financial Industry Regulatory Authority - Wikipedia

    en.wikipedia.org/wiki/Financial_Industry...

    The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...

  3. List of financial regulatory authorities by jurisdiction

    en.wikipedia.org/wiki/List_of_financial...

    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.

  4. What is FINRA and what does it do? - AOL

    www.aol.com/finance/finra-does-212735083.html

    FINRA is a key player in the financial regulatory space. Brokers and brokerage firms must be FINRA registered. It has a broad range of disciplinary powers, including the power to suspend or expel ...

  5. United States Arbitration Association - Wikipedia

    en.wikipedia.org/wiki/United_states_arbitration...

    USADR was founded in 2005 in Colorado to offer arbitration and mediation services under the name Colorado Mediators & Arbitrators. [2] The original Rules of Procedure were drafted by an attorney whose primary experience was as a NASD investigator. Its predecessor, Vision Mediation Group, LLC (2003-2005), limited ADR services to mediation.

  6. OTC Bulletin Board - Wikipedia

    en.wikipedia.org/wiki/OTC_Bulletin_Board

    In September 2010, FINRA announced that it had reached terms for the sale of the OTCBB with Rodman & Renshaw, an investment bank. Along with the sale of the OTCBB and, in an effort to provide uniform regulation to all OTC issues and, subsequently, transparency to the OTC market, FINRA has proposed a "quotation consolidation system".

  7. Series 7 exam - Wikipedia

    en.wikipedia.org/wiki/Series_7_Exam

    In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and variable contracts.

  8. FINRA, the Securities Industry's Mandatory Arbiter, Shouldn't ...

    www.aol.com/2009/12/27/worst-idea-for-2010-finra...

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  9. Uniform Investment Adviser Law Exam - Wikipedia

    en.wikipedia.org/wiki/Uniform_Investment_Adviser...

    The Uniform Investment Adviser Law Examination was developed by the North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA). Each Series 65, Uniform Investment Adviser Law Examination, contains a total of 140 questions.