Investment and Securities Account Restrictions Under FINRA s Code of Conduct

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. Along with their responsibilities to the securities industry, FINRA employees have responsibilities to all of FINRA’s other constituents, and to each other—and, therefore, must conduct themselves in a manner that commands the respect and confidence of everyone. To this end, we have adopted the FINRA Code of Conduct, which outlines our ethical commitments and expectations, and provides guidance on what employees

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