Richards Financial Group

Description

The Financial Industry Regulatory Authority ( FINRA ), created through the consolidation of NASD (National Association of Securities Dealers) and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange, is the largest non-governmental regulator for all securities firms doing business in the United States and is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. A new single SRO (Self Regulatory Organization) for the U.S. Securities Industry was created with the joining of NASD and NYSE Regulation, Inc. in July 2007. This new SRO is the largest self-regulatory organization for securities brokers and dealers in the world. FINRA streamlines regulation by eliminating dual-regulation that existed for 200 of the largest securities firms in the U.S.

Protect the worth of your business through business continuity planning and by protecting against the death or disability of key members of your executive team. Working with your attorneys, CPAs and other advisors, we can assist with the insurance and investment funding of your business ownership succession plans and your key-executive protection programs.

Products & services

Similar companies nearby