Finra pur Study guides, Class notes & Summaries

Broker-Dealer that doesn't comply is subject to: - ANSWER--censure -limits on activities -suspension -revocation of reg -fine FINRA - ANSWER-regulates all matters related to investment banking, trading in the OTC market, trading in the NYSE listed securities, and the conduct of FINRA member firms and associated persons FINRA Purpose - ANSWER--promote investment banking and securities business -provide medium for communication among its members -adopt, admin, and enforce rules design...