Who is finra

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Broadly, FINRA works to ensure that: Investors receive basic protections, including complete disclosure about purchased products. Leverage consolidated AML data sets with tailored matching and monitoring. European Market Infrastructure Regulation Read more. In addition to imposing fines, FINRA can suspend or ban brokers from the industry, depending on the severity of the infraction. Last but not least, FINRA devotes a considerable amount of its resources to educate investors to help them make wise financial decisions.

FINRA's BrokerCheck lets investors check the backgrounds of registered brokers and firms, and the agency's Market Data Center provides information on all sorts of investments. It also can help investors determine whether an opportunity is a scam by answering just four questions.

The SEC is the primary overseer of the U. It is colloquially known as the "watchdog of Wall Street. This article is part of The Motley Fool's Knowledge Center, which was created based on the collected wisdom of a fantastic community of investors.

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Discounted offers are only available to new members. Stock Advisor will renew at the then current list price. The Securities and Exchange Commission SEC is a government organization that is meant to protect investors and ensure the integrity of the securities market.

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Exercise Limit An exercise limit caps the number of option contracts in a single class that an entity can exercise within a given time period. Investopedia is part of the Dotdash publishing family.

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