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.

Learn new Accounting Terms

CASH CONVERSION CYCLE see CASH CYCLE.

FEE ACCOUNTANT is an individual who performs manual or automated bookkeeping services and/or maintains the official accounting records.

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