Firms We Regulate
FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is in the business of buying or selling securities on ...
How FINRA Serves Investors and Members
As an SRO, FINRA involves member firms by asking for their feedback on rule proposals, regulatory initiatives and industry issues and, thus, benefits from their ...
Which firms does the PRA regulate? - Bank of England
The lists of banks and building societies that we regulate are updated monthly, the list of investment firms and credit unions is updated annually, and the list ...
Financial Industry Regulatory Authority (FINRA) Definition
The Financial Industry Regulatory Authority (FINRA) writes and enforces rules that govern registered brokers and broker-dealer firms in the United States.
Dealers We Regulate | Canadian Investment Regulatory Organization
Dealers We Regulate ; 3i Financial Investment Services Inc. Suite #221, 9040 Leslie Street Richmond Hill, ON L4B 3M4. 905-597-5000 ; A.G.P. Canada Investments ULC.
Broker-Dealer Regulation and Compliance - Holland & Knight
We also assist firms in preparing for and responding to examinations and inquiries from the SEC, FINRA, state and other domestic and foreign regulatory ...
Financial Industry Regulatory Authority - Wikipedia
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates ...
Broker-Dealer Regulation | Katten Muchin Rosenman LLP
We have attorneys who have worked in-house at large brokerage firms. Others served as senior lawyers at the SEC, Financial Industry Regulatory Authority ...
Broker-Dealer Regulation & Compliance - Morgan Lewis
Clients rely on our advocacy skills and industry knowledge for perspective on key policy issues and regulatory proposals. We have successfully obtained ...
Who We Supervise | Department of Financial Services
DFS charters and regulates banks and trust companies under Article III of the Banking Law. Such Limited Purpose Trust Companies are, in some cases, authorized ...
Unauthorised Firms | Central Bank of Ireland
Prior to entering into a financial services transaction, members of the public can check the regulatory status of the firm they are dealing with. Please note ...
Broker-Dealer Regulation Law - EGS LLP
We assist clients in working with the securities regulators in connection with the creation and registration of new firms and expansion of business activities.
What Is FINRA And What Does It Do? - Bankrate
FINRA is a non-governmental, self-regulatory organization that enforces various rules governing brokers and broker-dealer firms in the United States.
Broker-Dealers | Services & Industries - Ropes & Gray LLP
... firms seeking broker-dealer regulatory and compliance guidance. We ... We were recently named firm of the year by U.S. News & World Report-Law Firm ...
Broker-Dealer Compliance + Regulation | Morrison Foerster
We counsel broker-dealers, banks, investment firms, derivatives dealers, fund managers, and other financial services intermedi aries on a full range of ...
Broker-Dealer Regulation & Compliance | Services - Mayer Brown
We are focused on the business objectives of our clients and devise and implement sophisticated strategies designed to achieve compliance with applicable laws ...
What is FINRA? The Financial Industry Regulatory Authority Explained
Registering broker-dealers, along with capital acquisition brokers, funding portals, and individual representatives of these firms, serves to ...
FINRA vs. the SEC: What's the Difference? - Investopedia
FINRA is a non-governmental organization overseen by the SEC that focuses on regulating and licensing brokers and brokerage firms to safeguard investors at the ...
Broker Dealer Compliance and Regulation - WilmerHale
We serve as regulatory counsel to a consortium of all of the equities and ... Nationally Recognized Firm for Securities Regulation. U.S. News and Best ...
Broker-Dealer - Financial Institutions - Debevoise & Plimpton LLP
We also work closely with the firm's broader practices, including structured ... We provide structuring and regulatory advice across a full range of ...