Financial Industry Regulatory Authority
Washington, District of Columbia
FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers. Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views. Any opinions or statements expressed on other accounts do not reflect the views of the organization.
Hybrid · Quinte West
Legal externs assist Enforcement attorneys and investigators in researching and determining potential violations of federal securities laws and FINRA rules. They also perform document reviews, assist in preparing for testimony, and observe interviews and settlement negotiations.