Financial Industry Regulatory Authority (FINRA)

Financial Industry Regulatory Authority (FINRA)

Definition

Self-regulatory organization overseen by the Securities and Exchange Commission that establishes and enforces rules governing broker-dealer firms in the United States securities markets. FINRA was formed by the 2007 combination of the National Association of Securities Dealers, Inc. (NASD) and the member-regulation operations of the New York Stock Exchange (NYSE).

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