Financial Industry Regulatory Authority (FINRA):
The Largest Independent Securities Regulator in the US
Recently Released!!!
Date Published: March 12, 2012
Summary PowerPoint Deck: 28 Slides
Reference PowerPoint Deck: 35 Slides
Financial Industry Regulatory Authority (FINRA) was founded as the National Association of Securities Dealers in 1939 and is based in Washington, DC. The company has 22 offices, 3,000 employees, 4,620 brokerage firms, 165,920 brokerage firm branches, and 636,340 brokerage firm registered securities representatives. Financial Industry Regulatory Authority (FINRA) is led by its CEO Rick Ketchum. Its web site can be found at www.finra.org.
Financial Industry Regulatory Authority (FINRA)'s comprehensive Power Point deck below includes a synopsis of its history, including its key phases:
And its profile concludes with the highlights of its organizational structure & ownership.
Date Published: March 12, 2012
Summary PowerPoint Deck: 28 Slides
Reference PowerPoint Deck: 35 Slides
Financial Industry Regulatory Authority (FINRA) was founded as the National Association of Securities Dealers in 1939 and is based in Washington, DC. The company has 22 offices, 3,000 employees, 4,620 brokerage firms, 165,920 brokerage firm branches, and 636,340 brokerage firm registered securities representatives. Financial Industry Regulatory Authority (FINRA) is led by its CEO Rick Ketchum. Its web site can be found at www.finra.org.
Financial Industry Regulatory Authority (FINRA)'s comprehensive Power Point deck below includes a synopsis of its history, including its key phases:
- National Association of Securities Dealers Phase
- Financial Industry Regulatory Authority Phase
- Recent Phase
- Writing Rules
- Registering & Educating Industry Participants
- Examining Securities Firms
- Enforcing its Rules & the Federal Securities Laws
- Providing Trade Reporting & Other Industry Utilities
- Administering Dispute Resolution Forum for Investors & Registered Firms
- Informing & Educating the Investing Public
- Regulating Securities Markets Under Contract
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Tiburon members can download the summary or reference PowerPoint presentation, view the most recent Tiburon Webinar featuring Tiburon's Managing Partner (or another Tiburon team member), and/or listen to the most recent Tiburon podcast featuring Tiburon member CEO guests by clicking on the buttons below:
Non-Tiburon Members:
Non-Tiburon members can either become Tiburon members or subscribe to this specific Tiburon Research by clicking on one of the buttons below:
Media Members:
Members of the media who would like access to this Tiburon Written Research, Tiburon Webinar, and/or Tiburon Podcast should send an email to Sarah Sage using the button below:
