Finr - Study guides, Class notes & Summaries

FINRA is a(n): self-regulatory organization of securities industry firms FINRA - Financial Industry Regulatory Authority - is the SRO - self-regulatory organization, whose members consist of all registered broker-dealers in the United States. FINRA member firms must be: domestic broker-dealers FINRA has no authority outside the U.S., so only domestic broker-dealers can be FINRA members. FINRA member firms (there are about 5,000 member firms) consist of broker-dealers that sell securitie...

SIE FINRA Exam questions and answers 2024 updateSIE FINRA Exam questions and answers 2024 update The Federal regulatory body that governs the securities industry is: >>>The SEC A fully disclosed BD: >>>is an inducing firm clearing its transactions through a carrying firm An intermediary between the buy and sell sides of a transaction is known as >>>a clearing agent For the Depository Trust and Clearing Corporation (DTCC), all of the following are true EXCEPT:...

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