| LC control no. | no2008102355 |
|---|---|
| Corporate name heading | Financial Industry Regulatory Authority |
| Variant(s) | FINRA |
| See also | National Association of Securities Dealers NYSE Regulation (Firm) |
| Found in | FINRA home page, WWW home page, viewed July 14, 2008 (FINRA; Financial Industry Regulatory Authority) about FINRA (The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business in the United States. ... Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange ...) Wikipedia, viewed July 14, 2008: under Financial Industry Regulatory Authority (FINRA was formed by a consolidation of the enforcement arm of the New York Stock Exchange, NYSE Regulation, Inc., and the NASD. The merger was approved by the United States Securities and Exchange Commission (SEC) on July 26, 2007) NYSE Regulation, WWW home page, viewed July 14, 2008: under NYSE/NASC regulatory consolidation, SEC filing 8-K report (NYSE Regulation, Inc. (NYSE Regulation) ... wholly owned subsidiaries of NYSE Euronext ... , entered into and completed an asset purchase agreement with National Association of Securities Dealers, Inc. (NASD) pursuant to which the member firm regulatory functions of NYSE Regulation, including related enforcement activities, risk assessment and the arbitration service (the Transferred Operations), were consolidated with those of the NASD. The consolidated organization is known as Financial Industry Regulatory Authority, Inc. (FINRA). Following the transaction, NYSE Regulation will continue to perform market surveillance and related enforcement activities and listed company compliance for New York Stock Exchange LLC and NYSE Arca, Inc. |
| Not found in | Investment Bankers Assoc. of America. Report on the conferences ... July 30, 1940. |
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