... Association Of Securities Dealers)已于2007年并入新成立的金融业监管局(FINRA,Financial Industry Regulation Authority),但FINRA在证券经纪人监管上完全继承了NASD的体系,例如监管规则继续采用原NASD 规则,只是..
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...理模式研究之一:引言 - 景荣114 D(National Association OfSecurities Dealers)已于2007年并入新成立的金融业监管局(FINRA,Financial IndustryRegulation Authority),但FINRA在证券经纪人监管上完全继承了NASD的体系,例如监管规则继续采用原NASD规则,...
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立的金融业监管局 Financial Industry Regulation Authority ; FINRA
通过请求豁免,美国金融业监管局有效地挡住了约翰逊及其他人要求提高透明度的呼声。
FINRA conveniently and effectively utilizes a plea of immunity to obviate the call for transparency by Johnson and others.
有100多名投资者寻求通过美国金融业监管局(Financial Industry Regulatory Authority)的仲裁解决与布伦·斯坦的纠纷,布伦·斯坦还面临着一起集体诉讼。
He faces more than 100 pending investor arbitrations through the Financial Industry Regulatory Authority, as well as a class-action lawsuit.
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