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Other regulatory organizations africa email list besides finra. Other regulatory organizations that work with the sec include: sipc: is a 50-year-old non-profit corporation ’ cash and securities when their brokerage firm fails msrb: the municipal securities rulemaking board is a regulatory body that creates rules for banks and investment firms that issue and sell municipal bonds. Notes. And other municipal securities. issues. She is always “Sniffing the wind” for the latest trends and directions. And keeping her readers abreast of these developments. Show more analyst’s disclosure: I/we have no stock. Option or similar derivative position in any of the companies mention. And no plans to initiate any such positions within the next 72 hours.
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A new rule will promote Sec vs. Finra & other Mobile Number In regulatory organizations finra. Which stands for the financial industry regulatory authority is an independent. Self-regulatory organization that oversees more than 3.500 brokerage firms. 154.000 branch offices. And around 625.000 register securities professionals . Corporate bonds. And securities futures and options. Finra creates and administers professionals must pass. Including the series 7 general securities representative qualification examination and the series 3 national commodities futures examination. By comparison. that is task with protecting individual investors and maintaining the integrity of both formal and over-the-counter (otc) exchanges.
