1. Financial Industry Regulatory Authority Short Interest Business Wireless

WASHINGTON, Oct 27, 2014 (BUSINESS WIRE) - The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Merrill Lynch Professional Clearing Corp. The Financial Industry Regulatory Authority (FINRA) is an independent regulator securities firms doing business in the United States. Securities are financial instruments, such as stocks or bonds, that can be traded freely on the open market. Brokers currently operate under the suitability standard promulgated by the Financial Industry Regulatory Authority (Finra), which requires them to recommend products generally aligned with their clients’ investing goals but has been criticized for potentially opening the door for commission-based conflicts of interest.

Technical and financial innovations have led to the introduction of complicated financial instruments and trading strategies with a global reach. As a result of some of these developments, transparency, procedures, and control are prone to be compromised. Preventing illegal activity is increasingly a challenge for regulators, and, being complicated instruments, add many more layers to the required regulations, with their varying brokerage charges with complex structures and allowed leverage levels with high-risk exposure.

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Financial Industry Regulatory Authority Short Interest Business Wireless

In this article, we discuss the basic regulations, governing bodies, and their activities for the options market in the US.