A New Direction for FINRA? – Washington, DC & Live Stream
The Financial Industry Regulatory Authority (FINRA) is a regulator of central importance to the functioning of U.S. capital markets. It regulates nearly 4.000 broker-dealers and almost 650,000 registered representatives. It is a private, not-for-profit organization. In 2015, FINRA levied $94 million in fines against broker-dealers,... Read More