Keyword Analysis & Research: finra

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Frequently Asked Questions

What does FINRA stand for?

FINRA stands for Financial Industry Regulatory Authority (formerly National Association of Securities Dealers) This definition appears very frequently and is found in the following Acronym Finder categories: Organizations, NGOs, schools, universities, etc. Business, finance, etc.

What is FINRA exam?

FINRA Exams. The Financial Industry Regulatory Authority, Inc. (FINRA) is the self-regulating body for the financial industry, responsible for setting regulations and standards for financial professionals. Passing the necessary FINRA exams is vital to becoming a successful financial professional.

Where is FINRA located?

Organization FINRA is made up of approximately 3,000 employees and has headquarters in both Washington, D.C. and New York City, with another 20 regional offices located throughout the country. It collects hundreds of millions of dollars every year in revenues that are generated from member dues,...

How does FINRA different from the SEC?

The acronym FINRA stands for the Financial Industry Regulatory Authority, while the acronym SEC stands for the U.S. Securities and Exchange Commission. The SEC, a federal government agency which was created decades ago with the Securities Exchange Act of 1934, regulates and oversees FINRA, which was created in 2007.

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