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FINRA Case Study

FINRA Case Study

Security Compass
Published by: Research Desk Released: Jun 20, 2021

The Financial Industry Regulatory Authority (FINRA), overseen by the SEC, is a not-for-profit organization dedicated to investor protection and market integrity. It regulates brokerage firms doing business with the public in the United States, and also provides market surveillance and other regulatory services. FINRA leverages innovative technology to detect potential abuses as they oversee tens of billions of market transactions everyday.