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Author Topic: 什么是金融业监管机构?  (Read 361 times)

阿诺德·施瓦辛格

  • Guest
on: December 19, 2024, 11:51:02 AM
什么是金融业监管机构?

金融业监管局 (FINRA) 是一家美国私营公司,以自律组织 (SRO) 的形式运营,负责监管会员经纪公司和交易市场。FINRA 是全国证券交易商协会 (NASD) 和纽约证券交易所监管、执法和仲裁活动的继任组织。作为包括 FINRA 在内的美国证券业的最终监管机构的美国政府机构是美国证券交易委员会 (SEC)。

FINRA 的董事会由来自行业和公众的 22 名成员组成,其中 10 个席位保留给行业成员,11 个席位保留给公众成员,1 个席位保留给首席执行官,由 FINRA 管理。FINRA 的章程要求公共部门理事的数量超过行业理事的数量。小型公司理事、中型公司理事和大型公司理事由 FINRA 成员根据其小型公司、中型公司或大型公司的分类选举产生。

FINRA 为个人和公司颁发行业许可证,制定管理其行为的规则,审查其是否符合监管要求,并受美国证券交易委员会 (SEC) 监管,并同意对不遵守联邦证券法和 FINRA 规则和法规的注册代表和会员公司进行纪律处分。该组织为行业专业人士提供教育和资格考试。该组织还向多个证券市场和交易所销售第三方管理产品和服务;例如,美国证券交易所 (AMEX) 和国际证券交易所 (ISE)。

经纪公司的 BrokerCheck 报告包括

执行摘要简要概述了公司及其背景。

公司记录描述了公司的成立地点和时间,并列出了拥有控制或直接影响公司日常运营的股票的人员和实体。

公司历史详细说明了影响公司的任何合并、收购或名称变更。

“公司活动”部分列出了公司的有效执照和注册、公司开展的业务类型以及与公司运营相关的其他详细信息。
披露包含有关公司记录中的任何仲裁决定、纪律处分事件和财务事项的信息。其中一些项目可能包括尚未解决或证明的未决诉讼或指控。



 

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