FINRA REGULATION Definition

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FINRA REGULATION is an independent subsidiary of FINRA that regulates the activities of broker/dealers in the over-the-counter industry and the NASDAQ Stock Market. FINRA Regulation carries out its regulatory responsibilities through education, examinations, market surveillance, registration of securities personnel, advertising and underwriting reviews, disciplinary actions for rule violations, investigation of customer complaints, and forums to resolve disputes. FINRA Regulation also regulates the sale of mutual funds, direct participation programs, and variable annuities.

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SIGNIFICANCE is a meaning that is not expressly stated but can be inferred, e.g. the significance of an increase in product demand can only be known after the financial effects are calculated.

BEST BID is the highest quoted bid of all competing Market Makers to buy a particular stock at any given time.

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