Financial Industry Regulatory Authority | Wikipedia audio article
Channel: wikipedia tts
Date: 06/01/2019

This is an audio version of the Wikipedia Article:
https://en.wikipedia.org/wiki/Financial_Industry_Regulatory_Authority


00:00:47 1 Overview
00:02:45 2 History
00:04:06 3 Board of governors
00:05:02 4 Functions: regulation and licensure
00:07:48 5 Central Registration Depository
00:08:17 6 Size
00:09:00 7 Criticism
00:10:40 8 Arbitration
00:17:42 9 See also



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Speaking Rate: 0.843296207653612
Voice name: en-US-Wavenet-E


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SUMMARY
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In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. It is a non-governmental organization that regulates member brokerage firms and exchange markets. The government agency which acts as the ultimate regulator of the securities industry, including FINRA, is the Securities and Exchange Commission.