Business, Legal & Accounting Glossary
The Financial Industry Regulatory Authority, Inc. (FINRA) is a private regulatory organization which is responsible for oversite and regulation over all securities firms doing business in the U.S. FINRA ensures that investors are protected against dishonest practices conducted by securities firms. They also enforce standards and regulations laid out by the U.S. Securities & Exchange Commission (SEC).
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This glossary post was last updated: 26th April, 2020 | 0 Views.