Exam (elaborations)
FINRA & Licensing exam with correct answers 2024
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- Institution
FINRA - ANSWER--Financial Industry Regulatory Authority -created July 2007, consolidation of Nat'l Assoc of Securities Dealers + NYSE's member regulation, enforcement and arbitration functions -self-regulatory org (SRO) -any planner or broker/dealer wishing to sell securities must register w/...
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