Financial Industry Regulatory Authority Archives

March 27, 2023

What is FINRA Rule 2090? FINRA Rule 2090, also known as the “Know Your Customer” rule, was created by the Financial Industry...

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March 23, 2023

What is FINRA Rule 3270 Outside Business Activities? The Financial Industry Regulatory Authority (FINRA), the regulator that oversees...

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March 21, 2023

What is FINRA Rule 2010? The Financial Industry Regulatory Authority (FINRA) sets and enforces rules, such as Rule 2010, that govern the...

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October 15, 2020

The Financial Industry Regulatory Authority’s revised rule would extend a temporary hold on accounts to protect Seniors. According to...

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November 20, 2013

Securities regulation is intended to protect all participates in the securities market. This includes investors as well as financial...

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December 6, 2011

In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a...

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Tag: Financial Industry Regulatory Authority