Series 24: Financial Industry Regulatory Authority (FINRA)

Taken from our Series 24 Online Guide

Financial Industry Regulatory Authority (FINRA)

The securities exchanges and over-the-counter markets are self-regulated. They are allowed to devise their own set of rules, as long as they comply with regulatory law and with guidelines established by the Securities and Exchange Commission (SEC). For over 70 years, these distinct markets have been led s

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