FINRA, or Financial Industry Regulatory Authority
FINRA is the Financial Industry Regulatory Authority whose members are US registered brokers and broker-dealer firms (such as Hatch’s US broker-dealer DriveWealth). FINRA aims to safeguard retail investors against fraud and bad broker practices. It’s a not-for-profit, independent member organisation that operates outside the US government, and is responsible under federal law for supervising its broker member firms. This means it sets, monitors and enforces the rules for investing in the US share markets, including the Nasdaq and the NYSE. FINRA also operates a dispute resolution firm, and BrokerCheck for investors to find out whether their broker or broker-dealer is registered.
We acknowledge and thank the FMA, Dr Karena Kelly and Brook Taurua Grant, the RBNZ and the Māori Dictionary for their research which helped us with te Reo Māori kupu for this glossary.
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