1. 

   davewapinski Formula Junior

   Joined:

   Nov 24, 2003

   Messages:

   276

   We have been approached by FINRA to do some work.
   
   What exactly do these people do and what is the organization like?

    

   davewapinski, Oct 7, 2008

   #1
2. 

   Face76 F1 World Champ Rossa Subscribed

   Joined:

   Aug 21, 2006

   Messages:

   13,475

   Location:

   The Other Oz

   Full Name:

   M Wilborn

   It is the old NASD. The enforce securities regulations and provide oversight (compliance).

    

   Face76, Oct 7, 2008

   #2

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