Financial Industry Regulatory Authority

Federal, self-regulatory, Öppna den officiella texten

Financial Industry Regulatory Authority (FINRA) har tillsyn över 1 regler i registret. Jurisdiktion: Federal, self-regulatory.

• Financial Industry Regulatory Authority (FINRA) står angiven i SEC Rule 17a-4 och FINRA:s tillsynsregler.
• Sidorna under Financial Industry Regulatory Authority (FINRA) visar texten och datumen som de är publicerade. Utfall i tillsynsärenden läses inte in i registret.
• Tillsyn: Financial Industry Regulatory Authority (FINRA). Texten publiceras av Electronic Code of Federal Regulations och Financial Industry Regulatory Authority.
• Texten pekar ut finansiella tjänster.

• US regulatory register
• SEC Rule 17a-4 och FINRA:s tillsynsregler

1 regler

• SEC Rule 17a-4 och FINRA:s tillsynsregler, 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511

Officiella källor

• 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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