Compliance Glossary

Financial Industry Regulatory Authority (FINRA) 

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The Financial Industry Regulatory Authority (FINRA) is a non-profit organization that regulates broker-dealers and other financial institutions in the United States.

In regulatory compliance, Financial Industry Regulatory Authority (FINRA)  is:

The Financial Industry Regulatory Authority (FINRA) is a non-profit organization that regulates broker-dealers and other financial institutions in the United States. Its activities are overseen by the SEC.