Post by cxgllc on Mar 28, 2019 21:50:57 GMT 10
The Keypoints of FINRA are-:
1. FINRA is a regulator of central importance to the functioning of U.S. capital markets. It is neither a true self-regulatory organization nor a government agency.
2. FINRA rules have played a key role in the decline in the number of small broker-dealers. This has an adverse impact on entrepreneurial capital formation.
3. CongressandtheSECneedtopro- vide greater oversight of FINRA.
Outsource Series 79 | Starting a Broker Dealer
1. FINRA is a regulator of central importance to the functioning of U.S. capital markets. It is neither a true self-regulatory organization nor a government agency.
2. FINRA rules have played a key role in the decline in the number of small broker-dealers. This has an adverse impact on entrepreneurial capital formation.
3. CongressandtheSECneedtopro- vide greater oversight of FINRA.
Outsource Series 79 | Starting a Broker Dealer