under finra's rules on communications with the public, which of the following statements regarding a broker-dealer's website referring to its finra membership is correct?

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09-12-2022
Computers and Technology

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under finra's rules on communications with the public, which of the following statements regarding a broker-dealer's website referring to its finra membership is correct?

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BhawnaKumari BhawnaKumari · Answer 1 · 2022-12-14T13:27:11+01:00

FINRA is referenced on a member broker/dealer website a hyperlink to the FINRA website is mandated and When FINRA or its logo is referenced it must not appear in a typeface larger or more prominent than the broker/dealer's own name and logo

Define FINRA.

The Financial Industry Regulatory Authority(FINRA) is a privately held American business that serves as a self-regulatory body that controls member brokerage firms and exchange markets. Congress has given FINRA the power to protect American investors by ensuring that the broker-dealer sector conducts itself honestly and fairly. Over 624,000 brokers are under FINRA's regulation nationwide, and the organization reviews billions of market events every day. Broker-Dealers, Capital Acquisition Brokers, and Funding Portals are all under FINRA regulation. On behalf of its clients, its own account, or both, a broker-dealer conducts business by purchasing or displacing securities.

To learn more about FINRA, use the link given
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