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FINRA
Organization
Also known as:
Financial Industry Regulatory Authority
2
Total Mentions
2
Documents
627
Connected Entities
American finance industry self-regulatory organization
Document Mentions (2)
SG_IMA_News_Mar2017.pdf
1 mentionHOUSE_OVERSIGHT_019856 - HOUSE_OVERSIGHT_019863
Mar 20, 2017Source: House Oversight
nvestigations and actions. His broad background with federal and state secutities laws and the rules, regulations and customary practices of the SEC, Financial Industry Regulatory Authority, Commodity Futures Trading Commission and various other regulatory bodies enables him to provide strategic guidance to a diverse clientele.
Page: HOUSE_OVERSIGHT_019860 →Ackrell Report.pdf
1 mentionHOUSE_OVERSIGHT_024631 - HOUSE_OVERSIGHT_024816
Feb 16, 2018Source: House Oversight
) have significant price volatility, and (iv) have little or no institutional investor support. The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have historically expressed concerns regarding the “penny” stock industry in general and both have issued alerts to warn investors about pote
Page: HOUSE_OVERSIGHT_024759 →Connected Entities(50 of 627)
United States
LocationCountry located primarily in North America
2 docs2 co-mentions
the U.S Securities and Exchange Commission
Organization2 docs2 co-mentions
the Ninth Circuit
Organization2 docs2 co-mentions
Supreme Court
OrganizationHighest court of jurisdiction in the US
2 docs2 co-mentions
Barack Obama
PersonPresident of the United States from 2009 to 2017
2 docs2 co-mentions
Donald Trump
PersonPresident of the United States (2017–2021, 2025–present)
2 docs2 co-mentions
Michael Jackson
PersonAmerican singer, songwriter, record producer, and dancer (1958–2009)
1 docs1 co-mentions
the Federal Government
Organization1 docs1 co-mentions
United Kingdom
LocationCountry in north-west Europe
1 docs1 co-mentions
Eric Holder
PersonUnited States Attorney General from 2009 to 2015
1 docs1 co-mentions
Las Vegas
LocationCity of Clark County, and largest city in state of Nevada, United States
1 docs1 co-mentions
Vancouver
LocationLargest city in the province of British Columbia, Canada
1 docs1 co-mentions
Jennifer
PersonFemale given name
1 docs1 co-mentions
Woody Allen
PersonAmerican filmmaker, actor and comedian (born 1935)
1 docs1 co-mentions
James Baker
PersonAmerican lawyer and statesman (born 1930)
1 docs1 co-mentions
Elon Musk
PersonBusinessman and entrepreneur (born 1971)
1 docs1 co-mentions
Nebraska
LocationState of the United States of America
1 docs1 co-mentions
Justice Department
OrganizationUnited States federal executive department
1 docs1 co-mentions
Lauderdale
LocationSuburb of Hobart, Australia
1 docs1 co-mentions
CW
Courtney Wild
Person1997 British biographical film directed by Brian Gilbert
1 docs1 co-mentions