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WebMay 11, 2015 · Kirk Chisholm, Wealth Manager. @kirkchisholm • 05/11/15. FINRA is the regulatory agency for Broker Dealers (BD). These broker dealers have "brokers" or Registered Representatives (RR) that work for them. They can be compensated via commissions. The SEC is the regulatory agency for Registered Investment Advisors (RIA). WebAug 26, 2016 · The Financial Industry Regulatory Authority (FINRA) ... Perhaps more important is the reminder to firms that compliance goes well beyond just the turret user, … pirates blackbeard
FINRA Regulated Forex Brokers - What US Traders Should Know
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