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Distinguished Toastmaster
BUSINESS & BRANDING COACH . LIFE & LEADERSHIP STRATEGIST MOTIVATIONAL SPEAKER SERVING ENTREPRENEURS & MAIN STREET |
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WHY FINRA TRIED TO HIDE FINRA D.R.S. IN FINRA REGULATION & WHY PIABA IS COMPLICIT (c) Carrie Devorah:
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WHY FINRA TRIED TO HIDE FINRA D.R.S. IN FINRA REGULATION & WHY PIABA IS COMPLICIT (c) Carrie Devorah:
_________________________________________________________________________________________________________________________________________
15 U.S. Code § 78o - Registration and regulation of brokers and dealers
(a) Registration of all persons utilizing exchange facilities to effect transactions; exemptions
(2) The Commission, by rule or order, as it deems consistent with the public interest and the protection of investors, may conditionally or unconditionally exempt from paragraph (1) of this subsection any broker or dealer or class of brokers or dealers specified in such rule or order.
(b) Manner of registration of brokers and dealers
(1) A broker or dealer may be registered by filing with the Commission an application for registration in such form and containing such information and documents concerning such broker or dealer and any persons associated with such broker or dealer as the Commission, by rule, may prescribe as necessary or appropriate in the public interest or for the protection of investors. Within forty-five days of the date of the filing of such application (or within such longer period as to which the applicant consents), the Commission shall—
(B)…. which the Commission finds—….. (iii) involves the larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent concealment, embezzlement, fraudulent conversion, or misappropriation of funds, or securities, or substantially equivalent activity however denominated by the laws of the relevant foreign government; or…..
1.___________________________________________________________________________________
FINANCIAL INDUSTRY REGULATORY AUTHORITY INC AKA FINRA
Income: $664,072,209 Also known as: FINRA
Rockville, MD 20850
Category: S41 (Promotion of Business (Chambers of Commerce)
Physical Address:
9509 Key West Ave
Rockville, MD 20850
EIN:
53-0088710
Web URL:
www.finra.org
Ruling Year:
1937
Mission Statement
FINRA IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY.
Legitimacy InformationThis organization is registered with the IRS.
This organization is required to file an IRS Form 990 or 990-EZ.
Forms 990
2013, 2012, and 2011 Forms 990 filed with the IRS
2. ___________________________________________________________________________________
FINRA Investor Education Foundation AKA FINRA Foundation
Income: $6,548,322
Also known as: FINRA Foundation
Washington, DC 20006
Category: T20 (Private Grantmaking Foundations); T23 (Private Operating Foundations)
Basic Organization Information
FINRA Investor Education Foundation
Also Known As:
FINRA Foundation
Physical Address:
1735 K St NW
Washington, DC 20006
EIN:
20-0863779
Web URL:
www.finrafoundation.org
Contact:
Robert Ganem
[email protected]
Sr Program Director
NTEE Category:
P Human Services
T Philanthropy, Voluntarism, and Grantmaking
T20 Private Grantmaking Foundations
T Philanthropy, Voluntarism, and Grantmaking
T23 Private Operating Foundations
Ruling Year:
2004
Mission Statement
The FINRA Investor Education Foundation, formerly known as the NASD Investor Education Foundation, supports innovative research and educational projects that give investors the tools they need to better understand the markets and the basic principles of saving and investing.
Legitimacy Information
This organization is registered with the IRS.
This organization is required to file an IRS Form 990 or 990-EZ.
Forms 990
2013, 2012, and 2011 Forms 990 filed with the IRS
3.___________________________________________________________________________________
Finra Regulation Inc
Income: $756,743,585
Rockville, MD 20850
Category: S41 (Promotion of Business (Chambers of Commerce)
Finra Regulation Inc
Physical Address:
9509 Key West Ave
Rockville, MD 20850
EIN:
52-1959501
Web URL:
www.finra.org
Telephone:
202-728-8949
NTEE Category:
S Community Improvement, Capacity Building
S41 (Promotion of Business (Chambers of Commerce))
Ruling Year:
1997
Mission Statement
FINRA IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY
Legitimacy Information
This organization is registered with the IRS.
This organization is required to file an IRS Form 990 or 990-EZ.
Forms 990
2013, 2012, and 2011 Forms 990 filed with the IRS
4 .___________________________________________________________________________________
FINRA DISPUTE RESOLUTION INC
Income: $36,948,383
Rockville, MD 20850
Category: I51 (Dispute Resolution/Mediation Services)
FINRA DISPUTE RESOLUTION INC
Physical Address:
9509 Key West Ave
Rockville, MD 20850
EIN:
52-2187577
Web URL:
www.finra.org
NTEE Category:
I Crime, Legal Related
I51 (Dispute Resolution/Mediation Services)
Ruling Year:
2000
Mission Statement
FINRA IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY
Legitimacy Information
This organization is registered with the IRS.
This organization is required to file an IRS Form 990 or 990-EZ
Forms 990
2013, 2012, and 2011 Forms 990 filed with the IRS
____________________________________________________________________________________________________________________________________
15 U.S. Code § 80b–1 - Findings Upon the basis of facts disclosed by the record and report of the Securities and Exchange Commission made pursuant to section 79z–4 [1] of this title, and facts otherwise disclosed and ascertained, it is found that investment advisers are of national concern, in that, among other things--
(1) their advice, counsel, publications, writings, analyses, and reports are furnished and distributed, and their contracts, subscription agreements, and other arrangements with clients are negotiated and performed, by the use of the mails and means and instrumentalities of interstate commerce;
(2) their advice, counsel, publications, writings, analyses, and reports customarily relate to the purchase and sale of securities traded on national securities exchanges and in interstate over-the-counter markets, securities issued by companies engaged in business in interstate commerce, and securities issued by national banks and member banks of the Federal Reserve System; and
(3) the foregoing transactions occur in such volume as substantially to affect interstate commerce, national securities exchanges, and other securities markets, the national banking system and the national economy.
(a) Registration of all persons utilizing exchange facilities to effect transactions; exemptions
(2) The Commission, by rule or order, as it deems consistent with the public interest and the protection of investors, may conditionally or unconditionally exempt from paragraph (1) of this subsection any broker or dealer or class of brokers or dealers specified in such rule or order.
(b) Manner of registration of brokers and dealers
(1) A broker or dealer may be registered by filing with the Commission an application for registration in such form and containing such information and documents concerning such broker or dealer and any persons associated with such broker or dealer as the Commission, by rule, may prescribe as necessary or appropriate in the public interest or for the protection of investors. Within forty-five days of the date of the filing of such application (or within such longer period as to which the applicant consents), the Commission shall—
(B)…. which the Commission finds—….. (iii) involves the larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent concealment, embezzlement, fraudulent conversion, or misappropriation of funds, or securities, or substantially equivalent activity however denominated by the laws of the relevant foreign government; or…..
1.___________________________________________________________________________________
FINANCIAL INDUSTRY REGULATORY AUTHORITY INC AKA FINRA
Income: $664,072,209 Also known as: FINRA
Rockville, MD 20850
Category: S41 (Promotion of Business (Chambers of Commerce)
Physical Address:
9509 Key West Ave
Rockville, MD 20850
EIN:
53-0088710
Web URL:
www.finra.org
Ruling Year:
1937
Mission Statement
FINRA IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY.
Legitimacy InformationThis organization is registered with the IRS.
This organization is required to file an IRS Form 990 or 990-EZ.
Forms 990
2013, 2012, and 2011 Forms 990 filed with the IRS
2. ___________________________________________________________________________________
FINRA Investor Education Foundation AKA FINRA Foundation
Income: $6,548,322
Also known as: FINRA Foundation
Washington, DC 20006
Category: T20 (Private Grantmaking Foundations); T23 (Private Operating Foundations)
Basic Organization Information
FINRA Investor Education Foundation
Also Known As:
FINRA Foundation
Physical Address:
1735 K St NW
Washington, DC 20006
EIN:
20-0863779
Web URL:
www.finrafoundation.org
Contact:
Robert Ganem
[email protected]
Sr Program Director
NTEE Category:
P Human Services
T Philanthropy, Voluntarism, and Grantmaking
T20 Private Grantmaking Foundations
T Philanthropy, Voluntarism, and Grantmaking
T23 Private Operating Foundations
Ruling Year:
2004
Mission Statement
The FINRA Investor Education Foundation, formerly known as the NASD Investor Education Foundation, supports innovative research and educational projects that give investors the tools they need to better understand the markets and the basic principles of saving and investing.
Legitimacy Information
This organization is registered with the IRS.
This organization is required to file an IRS Form 990 or 990-EZ.
Forms 990
2013, 2012, and 2011 Forms 990 filed with the IRS
3.___________________________________________________________________________________
Finra Regulation Inc
Income: $756,743,585
Rockville, MD 20850
Category: S41 (Promotion of Business (Chambers of Commerce)
Finra Regulation Inc
Physical Address:
9509 Key West Ave
Rockville, MD 20850
EIN:
52-1959501
Web URL:
www.finra.org
Telephone:
202-728-8949
NTEE Category:
S Community Improvement, Capacity Building
S41 (Promotion of Business (Chambers of Commerce))
Ruling Year:
1997
Mission Statement
FINRA IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY
Legitimacy Information
This organization is registered with the IRS.
This organization is required to file an IRS Form 990 or 990-EZ.
Forms 990
2013, 2012, and 2011 Forms 990 filed with the IRS
4 .___________________________________________________________________________________
FINRA DISPUTE RESOLUTION INC
Income: $36,948,383
Rockville, MD 20850
Category: I51 (Dispute Resolution/Mediation Services)
FINRA DISPUTE RESOLUTION INC
Physical Address:
9509 Key West Ave
Rockville, MD 20850
EIN:
52-2187577
Web URL:
www.finra.org
NTEE Category:
I Crime, Legal Related
I51 (Dispute Resolution/Mediation Services)
Ruling Year:
2000
Mission Statement
FINRA IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY
Legitimacy Information
This organization is registered with the IRS.
This organization is required to file an IRS Form 990 or 990-EZ
Forms 990
2013, 2012, and 2011 Forms 990 filed with the IRS
____________________________________________________________________________________________________________________________________
15 U.S. Code § 80b–1 - Findings Upon the basis of facts disclosed by the record and report of the Securities and Exchange Commission made pursuant to section 79z–4 [1] of this title, and facts otherwise disclosed and ascertained, it is found that investment advisers are of national concern, in that, among other things--
(1) their advice, counsel, publications, writings, analyses, and reports are furnished and distributed, and their contracts, subscription agreements, and other arrangements with clients are negotiated and performed, by the use of the mails and means and instrumentalities of interstate commerce;
(2) their advice, counsel, publications, writings, analyses, and reports customarily relate to the purchase and sale of securities traded on national securities exchanges and in interstate over-the-counter markets, securities issued by companies engaged in business in interstate commerce, and securities issued by national banks and member banks of the Federal Reserve System; and
(3) the foregoing transactions occur in such volume as substantially to affect interstate commerce, national securities exchanges, and other securities markets, the national banking system and the national economy.