FINRA,
or the independent Financial Industry Regulatory Authority, operates
from Washington, DC, and New York City, with fifteen District
Offices.
It’s
involved with registering and educating the industry. It examines
securities firms; along with writing and enforcing securities rules.
FINRA also informs and educates the investing public, and
provides trade reporting and other industry services. The Authority
administers the dispute resolution forum for investors and registered
firms.
The
organization performs market regulation under contract for the NASDAQ
Stock Market, the American Stock Exchange, the International
Securities Exchange and Chicago Climate Exchange.
However,
they are of help only to those who constantly are aware of investment
principles. (See the Earl J. Weinreb NewsHole®
comments.)
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