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Financial Industry Regulatory Authority


Formed 2007 by the merger of the National Association of Securities Dealers with the regulatory portion of the New York Stock Exchange. "The Financial Industry Regulatory Authority is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch offices and more than 676,000 registered securities representatives."

Official Website:

Founding Date:

NameOccupationBirthDeathKnown for
John W. Bachmann
16-Nov-1938   Partner, Edward Jones
William G. Morton, Jr.
c. 1937   CEO of Boston Stock Exchange, 1985-2001
Mary L. Schapiro
19-Jun-1955   Financial Industry Regulatory Authority
Joel Seligman
11-Jan-1950   President, University of Rochester

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