FINRA, the Financial Industry Regulatory Authority, Inc. in the United States, acts as a self-regulatory body for the regulation, enforcement and arbitration procedures of the New York Stock Exchange. A non-governmental organization, FINRA regulates member brokerages and other exchange markets for stock and product buying and selling. Ross Pake, CEO and sole proprietor of Legacy Wealth Management of Tustin, California, offers his clients wealth building opportunities in Stock Exchange investments.
The Financial Industry Regulatory Authority protects investors through its regulation of the securities industry, enforcing ethical practices and fair dealing between brokers and their investment clients. FINRA oversees over 4250 brokerages, over 162,000 branch offices and nearly 630,000 registered securities representatives. FINRA’s regional offices in the United States provide oversight for wealth management securities salesmen like Ross Pake and his advisors and financial planners at Legacy Wealth Management.
The Financial Industry Regulatory Authority was formed in a consolidation of the regulation and enforcement activities of the New York Stock Exchange, the New York Stock Exchange Regulation Inc., and NASD, the National Association of Securities Dealers in 2007. The history of member regulation of the stock trading industry essentially began with the founding of the National Association of Securities Dealers in 1939. The NASD registered with the Securities and Exchange Commission in tandem with the supervision amendments of the Maloney Act, allowing the NASD to supervise members. The NASD was replaced by FINRA in 2007. Ross Pake and other professionals who specialize in the buying and selling of investment securities, including equities, corporate bonds, securities futures and options, are regulated by FiNRA.
https://en.wikipedia.org/wiki/Financial_Industry_Regulatory_Authority
The Financial Industry Regulatory Authority protects investors through its regulation of the securities industry, enforcing ethical practices and fair dealing between brokers and their investment clients. FINRA oversees over 4250 brokerages, over 162,000 branch offices and nearly 630,000 registered securities representatives. FINRA’s regional offices in the United States provide oversight for wealth management securities salesmen like Ross Pake and his advisors and financial planners at Legacy Wealth Management.
The Financial Industry Regulatory Authority was formed in a consolidation of the regulation and enforcement activities of the New York Stock Exchange, the New York Stock Exchange Regulation Inc., and NASD, the National Association of Securities Dealers in 2007. The history of member regulation of the stock trading industry essentially began with the founding of the National Association of Securities Dealers in 1939. The NASD registered with the Securities and Exchange Commission in tandem with the supervision amendments of the Maloney Act, allowing the NASD to supervise members. The NASD was replaced by FINRA in 2007. Ross Pake and other professionals who specialize in the buying and selling of investment securities, including equities, corporate bonds, securities futures and options, are regulated by FiNRA.
https://en.wikipedia.org/wiki/Financial_Industry_Regulatory_Authority