Posts tagged with ‘NYSE’

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FINRA Compliance

July 11, 2010

FINRA (Financial Industry Regulatory Authority) was created in July 2007 with the consolidation of the regulation enforcement and arbitration functions of the New York Stock Exchange with the National Association Of Securities Dealers (NASD). FINRA in conjunction with the Securities and Exchange Commission (SEC) are regulatory agencies for the financial services industry in the United [...]