Tag Archives: FINRA regulations
What is FINRA?
With so many regulatory bodies, it can be easy to become confused about which organization is responsible for which tasks. FINRA, the Financial Industry Regulatory Authority, formerly the National Association of Securities Dealers, is one of those regulatory bodies. What does FINRA do, and how does it compare to the Securities and Exchange Commission?… Read More »
Don’t Be a Victim: Avoiding Investment Fraud
You may know that investment scammers are devious individuals who come in many shapes, sizes, ages, and genders. And you may know that scams come in many forms. Investment fraud can occur in purchases and sales of a variety of investment products. Fraud can involve common stocks, put and call options, hedge funds and… Read More »
