Скачать или смотреть What is FINRA? | Our Securities Attorneys at Shepherd Smith Edwards and Kantas explain.

FINRA is a Self-Regulatory Organization or “SRO” for short. Under this structure, anyone who wants to legally conduct securities trading in the United States is required to register with the organization, either as a broker-dealer or as a registered representative of a broker-dealer (which is what is commonly thought of as a “broker”).

However, that also means that FINRA’s authority is limited to its membership. If a person or entity does not obtain a securities license and conduct securities trading, the SRO has no authority or jurisdiction to do anything about that person or entity.

At Shepherd, Smith, Edwards & Kantas, LLP, our experienced investment fraud attorneys are devoted to assisting institutional and individual investors across the United States to recover financial losses caused by the inappropriate actions of financial advisors, stockbrokers and their brokerage firms.

To learn more about how you can recover losses, call our securities litigation attorneys at 800-259-9010 for a free, no-obligation consultation.

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