FINRA

См. также в других словарях:

• FINRA — Financial Industry Regulatory Authority (FINRA) USA The successor organization to the National Association of Securities Dealers, Inc. (NASD). The largest non governmental regulator for all securities firms doing business in the US. FINRA… …   Law dictionary

• FINRA Questionnaire — USA A questionnaire distributed by underwriters counsel to the company s directors, officers and security holders in connection with a public offering in order to gather and confirm information that must be provided to FINRA. Practical Law… …   Law dictionary

• FINRA BrokerCheck — An information vehicle containing statistics on both past and present securities brokers and firms registered with FINRA. With FINRA BrokerCheck, an investor can find a firm s history, learn of any indiscretions and locate and identify popular… …   Investment dictionary

• Financial Industry Regulatory Authority - FINRA — A regulatory body created after the merger of the National Association of Securities Dealers and the New York Stock Exchange s regulation committee. The Financial Industry Regulatory Authority is responsible for governing business between brokers …   Investment dictionary

• Financial Industry Regulatory Authority — In the United States, the Financial Industry Regulatory Authority, Inc., or FINRA, is a private corporation that acts as a self regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD).… …   Wikipedia

• NASD — Die Financial Industry Regulatory Authority (FINRA) ist als Genehmigungsbehörde in den USA hauptsächlich verantwortlich für die Beaufsichtigung von Personen, welche in der Wertpapierbranche involviert sind. Die Securities and Exchange Commission… …   Deutsch Wikipedia

• National Association of Securities Dealers — Die Financial Industry Regulatory Authority (FINRA) ist als Genehmigungsbehörde in den USA hauptsächlich verantwortlich für die Beaufsichtigung von Personen, welche in der Wertpapierbranche involviert sind. Die Securities and Exchange Commission… …   Deutsch Wikipedia

• Financial Industry Regulatory Authority — (FINRA) USA The successor organization to the National Association of Securities Dealers, Inc. (NASD). The largest non governmental regulator for all securities firms doing business in the US. FINRA oversees over 5,000 brokerage firms, about… …   Law dictionary

• Manuel P. Asensio — (born 1954) is a money manager in New York best known for his work as an activist short seller. Since 2000, Asensio and his firm have been subject to regulatory sanctions by the Financial Industry Regulatory Authority (FINRA). He is also the… …   Wikipedia

• Financial Industry Regulatory Authority — Die Financial Industry Regulatory Authority (FINRA) ist als Genehmigungsbehörde in den USA hauptsächlich verantwortlich für die Beaufsichtigung von Personen, welche in der Wertpapierbranche involviert sind. Die Securities and Exchange Commission… …   Deutsch Wikipedia

• OTC Bulletin Board — The OTC Bulletin Board or OTCBB is an interdealer electronic quotation system in the United States that displays real time quotes, last sale prices, and volume information for many over the counter (OTC) equity securities that are not listed on… …   Wikipedia