Anagram & Information om | Engelska ordet FINRA

Exempel på hur man kan använda FINRA i en mening

• is a member of the New York Stock Exchange (NYSE), Financial Industry Regulatory Authority (FINRA), Securities Investor Protection Corporation (SIPC), Depository Trust & Clearing Corporation (DTCC), Options Clearing Corporation (OCC) and the National Futures Association (NFA).
• In 2007, the NASD merged with the NYSE (which had already taken over the AMEX), and the Financial Industry Regulatory Authority (FINRA) was created.
• The OTC (Over-The-Counter) Bulletin Board or OTCBB was a United States quotation medium operated by the Financial Industry Regulatory Authority (FINRA) for its subscribing members.
• Under rules of the regulatory SRO governing brokers and dealers—the Financial Industry Regulatory Authority (FINRA), the investors' and the brokerage firms' assets must be segregated; they may not be commingled.
• NASD rule 12204 of 1992 (now FINRA Rule 2268), which allows investor class actions to proceed in federal court nullifies arbitration agreements when class certification is sought, is not preempted.
• In recent legislation, the Financial Services Modernization Act of 1999, the Municipal Securities Rulemaking Board (Securities Acts Amendments of 1975), and now FINRA (the Financial Industry Regulatory Authority) as of July 30, 2007, the industry overall has consolidated not only in sheer number but by undoing previous legislation such as the Securities Act of 1933.
• Today, it is widely accepted that the only legally valid consumer lending programs involving stocks or other securities are those in which the stocks remain in the client's title and account without sale through a fully licensed and regulated institution with membership in the SIPC, FDIC, FINRA and other mainline regulatory organizations, with their own audited financial statements.
• On July 26, 2007, the SEC approved a merger of the enforcement arms of the NYSE and the NASD, to form a new SRO, the Financial Industry Regulatory Authority (FINRA).
• In order to take the exam, an individual must be sponsored by a member firm of either FINRA or a self-regulatory organization (SRO).
• In order to take the exam, an individual must be sponsored by a member firm of either FINRA or a self-regulatory organization (SRO).
• Alternative display facility (ADF) is an equity trading facility created in the United States by the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization (SRO).
• In order to take the Series 24 exam, a candidate must be sponsored by a member firm of FINRA or another SRO (self-regulatory organization).
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• The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets.
• Globally, key regulators include the UK FCA and PRA; US CFTC, FINRA, NFA, FERC, SEC and Federal Reserve Board; IIROC; MAS; Hong Kong SFC; HKMA; SEBI; Japan FSA; Korean FSS; and New Zealand FMA.
• Schapiro is the first person to lead both the SEC and the CFTC, and the only one to have chaired those two agencies as well as FINRA.
• She held the comparable position at the National Association of Securities Dealers (NASD) before its 2007 consolidation with NYSE Member Regulation and redesignation as FINRA.
• In its November 7, 2008 opinion, the SEC reversed FINRA predecessor NASD, explaining that the self-regulatory organization (SRO) had presented a “new theory of liability” that amounted to a novel interpretation of Rule 3040, which requires registered representatives to obtain approval before engaging in business activity away from their firm.
• In response to increased regulation, such as by FINRA, some have argued that instead of promoting government intervention, it would be more efficient to focus on a solution that mitigates information asymmetries among traders and their backers; others argue that regulation does not go far enough.
• Aimed to corporations, institutions and agencies seeking to capture, preserve and leverage their Web content; dynamic websites, wikis, social media, forums, comments, disclaimers, and ads, for compliance (FDA, FINRA, FSA, SEC, FOIA), marketing or pure preservation purposes.

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