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  • Term

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     FINRA is an acronym for the title Financial Industry Regulatory Authority, a self-regulatory organization (SRO) of the securities industry. All firms who conduct securities transactions must be registered "members" of FINRA. Both the SEC and FINRA (as well as a few other SROs) regulate the securities industry. FINRA writes rules for the securities industry, enforces securities regulations and laws within the securities industry, registers securities professionals, trains securities professionals, oversees member firm compliance, and oversees dispute resolution between members, representatives and customers, among other things.

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