Financial Industry Regulatory Authority

Federal, self-regulatory, Åpne den offisielle teksten

Financial Industry Regulatory Authority (FINRA) fører tilsyn med 1 regler i registeret. Jurisdiksjon: Federal, self-regulatory.

• Financial Industry Regulatory Authority (FINRA) er oppgitt i SEC Rule 17a-4 og FINRAs tilsynsregler.
• Sidene under Financial Industry Regulatory Authority (FINRA) viser teksten og datoene slik de er publisert. Utfall i tilsynssaker leses ikke inn i registeret.
• Tilsyn: Financial Industry Regulatory Authority (FINRA). Teksten publiseres av Electronic Code of Federal Regulations og Financial Industry Regulatory Authority.
• Teksten peker ut finansielle tjenester.

• US regulatory register
• SEC Rule 17a-4 og FINRAs tilsynsregler

1 regler

• SEC Rule 17a-4 og FINRAs tilsynsregler, 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511

Offisielle kilder

• 17 CFR § 240.17a-4, Records to be preserved by certain exchange members, brokers and dealers, Electronic Code of Federal Regulations
• FINRA rulebook, Financial Industry Regulatory Authority

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