A comprehensive overview of the OTC Bulletin Board (OTCBB), a regulated quotation service for equities sold on the US over-the-counter market, including its history, importance, key events, and more.
An in-depth look at Self-Regulatory Organizations (SROs) including their definition, examples, historical context, and impact on the financial and other industries.
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) that serves as the largest non-governmental regulator of securities firms in the United States. Created in 2007 through the consolidation of the NASD and NYSE's regulatory functions, FINRA oversees brokerage firms, branch offices, and registered securities representatives.
Comprehensive coverage of the National Association of Securities Dealers (NASD), its evolution into FINRA, historical context, functions, and relevance in the financial industry.
Comprehensive look at the National Association of Securities Dealers, its role, history, and transformation into FINRA.
