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Financial Industry Regulatory Authority


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In the USA, a self-regulatory organization established in 2007 from a merger of the National Association of Securities Dealers (NASD) and the regulatory arm of the New York Stock Exchange. A private corporation rather than a government agency, it acts as a professional asociation for brokers and dealers on the securities market, with responsibility for training, arbitration, and the enforcement of a written code of practice. It also advises the US Securities and Exchange Commission and acts as regulator to the New York Stock Exchange, NASDAQ, and other leading US markets.

http://www.finra.org/ FINRA website: includes a wide range of resources for both professionals and private investors

Subjects: Accounting.


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