Financial Industry Regulatory Authority

Federal, self-regulatory, Open the official text

Financial Industry Regulatory Authority (FINRA) supervises 1 rules in the register. Jurisdiction: Federal, self-regulatory.

• Financial Industry Regulatory Authority (FINRA) is named in SEC Rule 17a-4 and the FINRA supervision rules.
• The pages under Financial Industry Regulatory Authority (FINRA) show the text and the dates as published. Enforcement outcomes are not read into the register.
• Supervised by Financial Industry Regulatory Authority (FINRA). The text is published by Electronic Code of Federal Regulations and Financial Industry Regulatory Authority.
• The text names financial services.

• US regulatory register
• SEC Rule 17a-4 and the FINRA supervision rules

1 rules

• SEC Rule 17a-4 and the FINRA supervision rules, 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511

Official sources

• 17 CFR § 240.17a-4, Records to be preserved by certain exchange members, brokers and dealers, Electronic Code of Federal Regulations
• FINRA rulebook, Financial Industry Regulatory Authority

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Machine-readable summaries for AI agents: /llms.txt and /llms-full.txt.