The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) and the largest nongovernmental regulator of securities firms in the United States. Created in July 2007 by the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange (NYSE).
FINRA is a self-regulatory organization established in 2007 aimed at overseeing brokers and dealers in the United States securities market, providing training, arbitration, and enforcement of a written code of practice to ensure market integrity.
A margin account is a type of brokerage account that allows customers to borrow money from their broker to buy securities, following regulations from the Federal Reserve Board, the National Association of Securities Dealers (NASD), the New York Stock Exchange, and individual brokerage house rules.
The National Association of Securities Dealers (NASD) was a self-regulatory organization of the securities industry responsible for the regulation and oversight of broker-dealers in the United States.
A regulated quotation service providing real-time quotes and last-sale prices for equities sold in the US over-the-counter market. Created by the National Association of Securities Dealers, Inc. (NASD) in 1990.
