The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) and the largest nongovernmental regulator of securities firms in the United States. Created in July 2007 by the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange (NYSE).
FINRA is a self-regulatory organization established in 2007 aimed at overseeing brokers and dealers in the United States securities market, providing training, arbitration, and enforcement of a written code of practice to ensure market integrity.
A comprehensive guide to understanding the role, functions, and importance of the Financial Industry Regulatory Authority (FINRA) in maintaining market integrity and protecting investors.
The National Association of Securities Dealers (NASD) was a self-regulatory organization of the securities industry responsible for the regulation and oversight of broker-dealers in the United States.
