What is FINRA? | SIE, SERIES6, SERIES7, SERIES63, SERIES66 Exam Prep

FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees broker-dealers and their registered representatives, administering qualification exams and enforcing securities rules. 📚 Learn more about FINRA and other key terms for your SIE, SERIES6, SERIES7, SERIES63, SERIES66 exam at Open Exam Prep. 🎯 This term appears on: SIE, SERIES6, SERIES7, SERIES63, SERIES66 🔗 Full glossary: https://www.open-exam-prep.com/glossary 🔗 FINRA definition: https://www.open-exam-prep.com/glossary/finra 💡 Exam Tip: FINRA = self-regulatory (SRO), not government. SEC = government regulator. --- #general #examprep #financeexam #sie #series6 #series7 #series63 #series66