The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees the activity of member brokerage firms and exchange platforms. FINRA derives its statutory authority from Congress and is overseen by the SEC.
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees the activity of member brokerage firms and exchange platforms. FINRA derives its statutory authority from Congress and is overseen by the SEC.