finra.org
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Top URL related to finra.org
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1. A vibrant market is at its best when it works for everyone. | FINRA…
Link: https://www.finra.org/
Description: Web3 days ago · Learn how the Financial Industry Regulatory Authority (FINRA) ensures a fair market with regulations, essential tools and resources for investors and pros. A vibrant market is at its best when it works for everyone. | FINRA.org
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2. About FINRA
Link: https://www.finra.org/about
Description: WebWe Play a Big Role. FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country—and analyze billions of daily market events.
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3. Registration, Exams and CE - FINRA.org
Link: https://www.finra.org/registration-exams-ce
Description: WebFINRA-certified brokers have registered and undergone stringent Qualification Exams and are required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
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4. BrokerCheck - Find a broker, investment or financial advisor
Link: https://brokercheck.finra.org/
Description: WebBrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
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5. Financial Industry Regulatory Authority - Wikipedia
Link: https://en.wikipedia.org/wiki/Financial_Industry_Regulatory_Authority
Description: WebOverview. The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 ...
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6. FINRA Gateway
Link: https://www.finra.org/filing-reporting/finra-gateway
Description: WebThat's why FINRA has launched the new FINRA Gateway. The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
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7. For Investors - FINRA.org
Link: https://www.finra.org/investors
Description: WebFINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals—and we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask.
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8. Filing & Reporting - FINRA.org
Link: https://www.finra.org/filing-reporting
Description: WebApr 23, 2024 · Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements. FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to …
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9. Rules & Guidance - FINRA.org
Link: https://www.finra.org/rules-guidance
Description: WebFINRA’s rules and guidance strive to protect investors and ensure the integrity of today’s rapidly evolving market. FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers.
