FINRA definition: Copy, customize, and use instantly
Introduction
The term "FINRA" refers to the Financial Industry Regulatory Authority, a self-regulatory organization in the United States responsible for overseeing brokerage firms, financial advisors, and securities markets. It is essential for ensuring the fair and transparent operation of securities markets, protecting investors, and enforcing compliance with industry regulations.
Below are various examples of how "FINRA" can be defined in different contexts. Copy the one that fits your needs, customize it, and use it in your contract.
Definition of "FINRA" as a regulatory authority for brokers and dealers
This definition ties "FINRA" to its regulatory role.
"FINRA" means the Financial Industry Regulatory Authority, the organization responsible for regulating broker-dealers and enforcing securities laws to protect investors and ensure market integrity.
Definition of "FINRA" as an enforcer of investor protections
This definition connects "FINRA" to investor safety.
"FINRA" refers to the Financial Industry Regulatory Authority, tasked with enforcing rules and standards designed to safeguard investors and promote ethical practices in securities trading.
Definition of "FINRA" as a licensing body for financial professionals
This definition links "FINRA" to industry certification.
"FINRA" means the Financial Industry Regulatory Authority, which oversees the licensing and registration of brokers, financial advisors, and other securities professionals.
Definition of "FINRA" as a provider of market transparency
This definition applies "FINRA" to market operations.
"FINRA" refers to the Financial Industry Regulatory Authority, responsible for ensuring market transparency and fairness by regulating trading platforms and monitoring trade activities.
Definition of "FINRA" as an arbiter in securities disputes
This definition ties "FINRA" to dispute resolution.
"FINRA" means the Financial Industry Regulatory Authority, which administers arbitration and mediation services to resolve disputes between investors, brokers, and financial firms.
Definition of "FINRA" as a monitor of compliance standards
This definition connects "FINRA" to industry oversight.
"FINRA" refers to the Financial Industry Regulatory Authority, which develops and enforces compliance standards for broker-dealers and securities firms operating in the U.S.
Definition of "FINRA" as an issuer of disciplinary actions
This definition links "FINRA" to enforcement activities.
"FINRA" means the Financial Industry Regulatory Authority, empowered to issue sanctions, fines, and other disciplinary actions against firms and individuals for violations of securities laws.
Definition of "FINRA" as a guardian of financial market integrity
This definition applies "FINRA" to market stability.
"FINRA" refers to the Financial Industry Regulatory Authority, tasked with protecting the integrity of the financial markets by enforcing ethical behavior and preventing fraudulent practices.
Definition of "FINRA" as a resource for investor education
This definition ties "FINRA" to its educational role.
"FINRA" means the Financial Industry Regulatory Authority, which provides resources, tools, and information to educate investors about securities and financial markets.
Definition of "FINRA" as an overseer of securities disclosures
This definition connects "FINRA" to transparency in reporting.
"FINRA" refers to the Financial Industry Regulatory Authority, responsible for overseeing the accuracy and completeness of disclosures made by securities issuers and brokers.
Definition of "FINRA" as a facilitator of regulatory reporting
This definition links "FINRA" to compliance infrastructure.
"FINRA" means the Financial Industry Regulatory Authority, which manages systems for regulatory reporting and data collection, ensuring firms meet their compliance obligations.
Definition of "FINRA" as a promoter of ethical practices
This definition applies "FINRA" to professional conduct.
"FINRA" refers to the Financial Industry Regulatory Authority, which establishes and enforces ethical standards for securities professionals to foster trust in the financial system.
Definition of "FINRA" as a supervisor of capital requirements
This definition ties "FINRA" to financial health monitoring.
"FINRA" means the Financial Industry Regulatory Authority, which oversees broker-dealers’ compliance with capital adequacy requirements to ensure financial stability.
Definition of "FINRA" as a regulator of trading platforms
This definition connects "FINRA" to market infrastructure.
"FINRA" refers to the Financial Industry Regulatory Authority, which regulates trading platforms and systems to ensure they operate fairly and in compliance with applicable laws.
Definition of "FINRA" as a participant in anti-money laundering efforts
This definition links "FINRA" to financial crime prevention.
"FINRA" means the Financial Industry Regulatory Authority, which works to prevent money laundering and financial crimes by enforcing robust compliance programs for securities firms.
Definition of "FINRA" as a regulator of private placements
This definition ties "FINRA" to private market oversight.
"FINRA" means the Financial Industry Regulatory Authority, which regulates private placements and ensures compliance with disclosure requirements for offerings exempt from public registration.
Definition of "FINRA" as an advocate for fair practices in trading
This definition connects "FINRA" to ethical trading.
"FINRA" refers to the Financial Industry Regulatory Authority, which advocates for fair trading practices and enforces rules to prevent market manipulation and insider trading.
Definition of "FINRA" as an investigator of market anomalies
This definition links "FINRA" to surveillance activities.
"FINRA" means the Financial Industry Regulatory Authority, responsible for investigating unusual market activity, including potential fraud, insider trading, or price manipulation.
Definition of "FINRA" as a compliance partner for broker-dealers
This definition applies "FINRA" to broker-dealer support.
"FINRA" refers to the Financial Industry Regulatory Authority, which works with broker-dealers to ensure compliance with securities laws and operational standards.
Definition of "FINRA" as a record-keeper for professional registrations
This definition ties "FINRA" to registration databases.
"FINRA" means the Financial Industry Regulatory Authority, which maintains a centralized database of registered securities professionals and their disciplinary histories.
Definition of "FINRA" as an enforcer of suitability requirements
This definition connects "FINRA" to investment appropriateness.
"FINRA" refers to the Financial Industry Regulatory Authority, which enforces suitability standards to ensure that investment recommendations align with clients’ needs and risk profiles.
Definition of "FINRA" as a watchdog for crowdfunding platforms
This definition links "FINRA" to modern financing methods.
"FINRA" means the Financial Industry Regulatory Authority, which oversees crowdfunding platforms and ensures compliance with rules governing capital raising through online platforms.
Definition of "FINRA" as a supervisor of municipal securities
This definition applies "FINRA" to public finance.
"FINRA" refers to the Financial Industry Regulatory Authority, which regulates broker-dealers involved in the sale and trading of municipal securities, ensuring compliance with relevant laws.
Definition of "FINRA" as a provider of examination programs
This definition ties "FINRA" to licensing and testing.
"FINRA" means the Financial Industry Regulatory Authority, which administers qualification examinations for securities professionals to assess their knowledge and compliance capabilities.
Definition of "FINRA" as an enforcer of transparency in fees
This definition connects "FINRA" to cost disclosure.
"FINRA" refers to the Financial Industry Regulatory Authority, which mandates clear and transparent disclosure of fees and charges associated with investment products and services.
Definition of "FINRA" as a guardian of investor complaints
This definition links "FINRA" to investor protections.
"FINRA" means the Financial Industry Regulatory Authority, which provides platforms for investors to file complaints and ensures that such grievances are addressed effectively.
Definition of "FINRA" as an enforcer of continuing education
This definition applies "FINRA" to professional development.
"FINRA" refers to the Financial Industry Regulatory Authority, which requires securities professionals to complete continuing education programs to maintain their knowledge and compliance standards.
Definition of "FINRA" as a regulator of margin accounts
This definition ties "FINRA" to leveraged investments.
"FINRA" means the Financial Industry Regulatory Authority, which sets rules for the use and maintenance of margin accounts to protect investors and maintain market stability.
Definition of "FINRA" as a standard-setter for communication practices
This definition connects "FINRA" to marketing and communication.
"FINRA" refers to the Financial Industry Regulatory Authority, which regulates advertising, communications, and disclosures by broker-dealers to ensure they are fair and not misleading.
Definition of "FINRA" as an overseer of fixed income markets
This definition links "FINRA" to bond trading.
"FINRA" means the Financial Industry Regulatory Authority, which oversees trading and transparency in fixed income markets, including corporate and municipal bonds.
Definition of "FINRA" as a regulator of OTC markets
This definition ties "FINRA" to over-the-counter trading.
"FINRA" means the Financial Industry Regulatory Authority, which regulates over-the-counter (OTC) markets to ensure transparency, fair practices, and compliance with applicable rules.
Definition of "FINRA" as an administrator of compliance audits
This definition connects "FINRA" to regulatory reviews.
"FINRA" refers to the Financial Industry Regulatory Authority, responsible for conducting compliance audits of broker-dealers to assess adherence to securities laws and regulations.
Definition of "FINRA" as a monitor of retail investor practices
This definition links "FINRA" to consumer protection.
"FINRA" means the Financial Industry Regulatory Authority, which monitors the interactions between broker-dealers and retail investors to ensure fair treatment and ethical practices.
Definition of "FINRA" as an advocate for cybersecurity in financial markets
This definition applies "FINRA" to data security.
"FINRA" refers to the Financial Industry Regulatory Authority, which enforces cybersecurity standards and guidelines to protect financial institutions and investors from data breaches and cyber threats.
Definition of "FINRA" as a regulator of IPO processes
This definition ties "FINRA" to public offerings.
"FINRA" means the Financial Industry Regulatory Authority, which oversees initial public offering (IPO) processes to ensure compliance with rules governing capital raising and investor disclosures.
Definition of "FINRA" as a compliance resource for small firms
This definition connects "FINRA" to firm-specific support.
"FINRA" refers to the Financial Industry Regulatory Authority, which provides specialized compliance resources and tools to assist small brokerage firms in meeting regulatory obligations.
Definition of "FINRA" as an enforcer of best execution practices
This definition links "FINRA" to trading efficiency.
"FINRA" means the Financial Industry Regulatory Authority, which enforces best execution rules to ensure that brokers execute trades in a manner most advantageous to their clients.
Definition of "FINRA" as an overseer of recordkeeping requirements
This definition applies "FINRA" to documentation standards.
"FINRA" refers to the Financial Industry Regulatory Authority, which sets and enforces recordkeeping requirements for broker-dealers to ensure transparency and accountability.
Definition of "FINRA" as a regulator of advertising materials
This definition ties "FINRA" to marketing compliance.
"FINRA" means the Financial Industry Regulatory Authority, which reviews and approves advertising, promotional, and sales materials to ensure they comply with regulatory standards.
Definition of "FINRA" as a promoter of financial literacy
This definition connects "FINRA" to investor education.
"FINRA" refers to the Financial Industry Regulatory Authority, which promotes financial literacy by providing resources and programs to help investors make informed decisions.
Definition of "FINRA" as a tracker of broker-dealer misconduct
This definition links "FINRA" to disciplinary actions.
"FINRA" means the Financial Industry Regulatory Authority, which maintains and monitors records of broker-dealer misconduct to protect investors and uphold industry integrity.
Definition of "FINRA" as a manager of dispute resolution platforms
This definition applies "FINRA" to conflict mediation.
"FINRA" refers to the Financial Industry Regulatory Authority, which operates arbitration and mediation platforms to resolve disputes between investors, brokers, and financial firms.
Definition of "FINRA" as a facilitator of cross-border compliance
This definition ties "FINRA" to international collaboration.
"FINRA" means the Financial Industry Regulatory Authority, which collaborates with international regulatory bodies to ensure cross-border compliance with securities regulations.
Definition of "FINRA" as a supporter of fair market competition
This definition connects "FINRA" to market fairness.
"FINRA" refers to the Financial Industry Regulatory Authority, which enforces rules to promote fair competition among market participants and prevent monopolistic practices.
Definition of "FINRA" as a supervisor of anti-fraud measures
This definition links "FINRA" to fraud prevention.
"FINRA" means the Financial Industry Regulatory Authority, which develops and enforces anti-fraud measures to protect investors from deceptive or unethical practices in financial markets.
Definition of "FINRA" as an enforcer of ethical conduct for securities professionals
This definition ties "FINRA" to professional standards.
"FINRA" means the Financial Industry Regulatory Authority, which establishes and enforces ethical conduct standards for brokers, dealers, and financial advisors to ensure trust in the securities industry.
Definition of "FINRA" as a promoter of market surveillance systems
This definition connects "FINRA" to monitoring technology.
"FINRA" refers to the Financial Industry Regulatory Authority, which develops and implements market surveillance systems to identify irregularities and ensure compliance with trading regulations.
Definition of "FINRA" as a regulator of continuing membership standards
This definition links "FINRA" to firm eligibility.
"FINRA" means the Financial Industry Regulatory Authority, which evaluates broker-dealer firms to ensure ongoing compliance with membership standards and operational requirements.
Definition of "FINRA" as a participant in financial policy development
This definition applies "FINRA" to policymaking.
"FINRA" refers to the Financial Industry Regulatory Authority, which contributes to the development of financial regulations and policies in collaboration with government agencies and industry stakeholders.
Definition of "FINRA" as a manager of trade reporting facilities
This definition ties "FINRA" to transactional data.
"FINRA" means the Financial Industry Regulatory Authority, which operates trade reporting facilities to collect, process, and analyze transaction data in equity and debt markets.
Definition of "FINRA" as a supporter of compliance technology adoption
This definition connects "FINRA" to technological innovation.
"FINRA" refers to the Financial Industry Regulatory Authority, which encourages the adoption of compliance technology by securities firms to streamline regulatory adherence and reporting.
Definition of "FINRA" as a monitor of supervisory frameworks
This definition links "FINRA" to organizational oversight.
"FINRA" means the Financial Industry Regulatory Authority, which assesses the adequacy of supervisory frameworks implemented by broker-dealers to ensure effective oversight of their operations.
Definition of "FINRA" as a guide for industry best practices
This definition applies "FINRA" to operational excellence.
"FINRA" refers to the Financial Industry Regulatory Authority, which publishes guidelines and resources on industry best practices to support regulatory compliance and operational efficiency.
Definition of "FINRA" as a validator of securities offerings
This definition ties "FINRA" to offering approvals.
"FINRA" means the Financial Industry Regulatory Authority, which reviews and validates securities offerings to ensure compliance with applicable laws and disclosure requirements.
Definition of "FINRA" as an overseer of interdealer trading activities
This definition connects "FINRA" to market fairness.
"FINRA" refers to the Financial Industry Regulatory Authority, which oversees interdealer trading to promote transparency and prevent collusion or manipulation in securities transactions.
Definition of "FINRA" as a regulator of crowdfunding intermediaries
This definition links "FINRA" to innovative capital raising.
"FINRA" means the Financial Industry Regulatory Authority, which regulates crowdfunding intermediaries to ensure compliance with rules governing investor protections and funding limits.
Definition of "FINRA" as a reviewer of corporate actions
This definition applies "FINRA" to organizational disclosures.
"FINRA" refers to the Financial Industry Regulatory Authority, which reviews corporate actions such as mergers, dividends, and stock splits to ensure accurate and timely disclosure.
Definition of "FINRA" as a provider of compliance workshops
This definition ties "FINRA" to industry education.
"FINRA" means the Financial Industry Regulatory Authority, which offers workshops, seminars, and training programs to educate securities professionals on compliance requirements and emerging regulations.
Definition of "FINRA" as a collaborator with federal regulators
This definition connects "FINRA" to broader regulatory efforts.
"FINRA" refers to the Financial Industry Regulatory Authority, which collaborates with federal regulatory bodies like the SEC to harmonize enforcement efforts and protect investors.
Definition of "FINRA" as a maintainer of public disclosure systems
This definition links "FINRA" to transparency initiatives.
"FINRA" means the Financial Industry Regulatory Authority, which operates public disclosure systems like Broker Check to provide investors with access to information about brokers and firms.
This article contains general legal information and does not contain legal advice. Cobrief is not a law firm or a substitute for an attorney or law firm. The law is complex and changes often. For legal advice, please ask a lawyer.