MLchartDataset catalogue

Financial Industry Regulatory Authority

Term · Law · MLC-T-LAW-002124

A private, self-regulatory organization that oversees brokerage firms and their registered securities representatives in the United States. The Financial Industry Regulatory Authority (FINRA) writes and enforces rules governing the activities of all registered broker-dealer firms and registered brokers in the U.S. It has the power to discipline its members for rule violations through fines, suspension, or expulsion from the industry.

Table 1. Record
IdentifierMLC-T-LAW-002124
FieldLaw
AbbreviationFINRA
Record as JSON 
{
  "id": "MLC-T-LAW-002124",
  "term": "Financial Industry Regulatory Authority",
  "field": "Law",
  "definition": "A private, self-regulatory organization that oversees brokerage firms and their registered securities representatives in the United States. The Financial Industry Regulatory Authority (FINRA) writes and enforces rules governing the activities of all registered broker-dealer firms and registered brokers in the U.S. It has the power to discipline its members for rule violations through fines, suspension, or expulsion from the industry.",
  "abbreviation": "FINRA",
  "url": "https://mlchart.com/terminology/law/financial-industry-regulatory-authority/"
}

Record 2,030 of 5,445 in Law terminology (MLC-0107). Request the full dataset.