Series 7: 18.2.2 Financial Industry Regulatory Authority

Taken from our Series 7 Top-off Online Guide

18.2.2 Financial Industry Regulatory Authority

The merger of the NASD and NYSE Regulation into FINRA began a movement to create a single regulator for all securities firms that do business with the public. In the succeeding years, 11 U.S. exchanges have turned over their responsibility for insider-trading surveillance of exchange-listed equity securities to

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