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Who is the National Association of Securities Dealers (FINRA)?

April 26, 2017Association Dealers FINRA National securities

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Who is the National Association of Securities Dealers (FINRA)?

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Authorized by an act of Congress in 1938, FINRA is a membership self-regulatory organization of securities firms. FINRA sets the overall strategic direction and policy agendas of the whole organization, oversees the effectiveness of its subsidiaries, and ensures that the organization’s statutory and self-regulatory obligations are fulfilled.