finra

Compel the wall street self-regulator FINRA ( financial industry regulatory authority ) to open its books and records .

1.迫使华尔街自律监管机构&美国金融业监管局（FinancialIndustryRegulatoryAuthority，以下简称FINRA）公开账簿和记录。

FINRA may report through the SEC , but it is a private organization .

美国金融业监管局可能是通过美国证券交易委员会报告，但它并非政府组织。

How has FINRA responded to calls by Johnson and others within the industry for real transparency ?

美国金融业监管局是如何回应约翰逊和其他业内人士要求提高透明度的呼声的？

Starting in early 2009 and repeatedly since then I have stated unequivocally that FINRA must open its books and records .

我从2009年初起就多次明确表态，FINRA必须公开账簿和记录。

Borrowing against brokerage accounts hit an all-time high earlier this year , according to data from FINRA , and has continued to go higher .

据美国金融业监管局（FINRA）的数据，今年早些时候，经纪账户抵押贷款创下了历史新高，而且还在继续攀升。

FINRA conveniently and effectively utilizes a plea of immunity to obviate the call for transparency by Johnson and others .

通过请求豁免，美国金融业监管局有效地挡住了约翰逊及其他人要求提高透明度的呼声。

FINRA recommends a few things investors can do to avoid cons : verify that the person touting the investment is licensed ;

金融业监管局向投资者提出几点建议以防诈骗：查证鼓吹此类投资的人是否有执照；

Additionally , industry oversight organizations , such as FINRA and the SEC , are also critical components of the financial ecosystem and present relevant opportunities for women .

此外，像美国金融业监管局和美国证券交易委员会这样的行业监管机构也是金融生态系统的关键组成机构，也为女性提供相关机遇。

Finra 's fine against Citigroup Global Markets , expected to be announced today , partly involves the bank 's failure to control trading related to strategies including so-called " total return swaps " .

预计美国金融业监管局对花旗集团全球市场部（CitigroupGlobalMarkets）的罚款决定将于今日宣布，此项处罚在一定程度上是由于花旗未能控制涉及“总回报互换”等策略的交易。

The ows movement and all of America would learn a lot about the incestuous nature of the relationship between Wall Street and Washington if FINRA were forced to provide real transparency as I have called for so often .

如果能像我长期以来呼吁的那样，FINRA不得不提供真正的透明度，占领华尔街运动以及所有美国人都会对华尔街与华盛顿的裙带关系了解多多。

Under the proposed measure , the nine US stock exchanges that now monitor insider dealing will cede their authority to two bodies , the New York Stock Exchange 's regulatory arm and the Financial Industry Regulatory Authority ( Finra ), which oversees broker-dealers .

根据拟议中的方案，目前监控内幕交易的9家美国证交所将把监管权转给两家机构：纽约证交所（NYSE）的监管部门以及负责监管经纪商的美国金融业监管局（Finra）。

The huddles , which were the subject of a page-one article on Monday in The Wall Street Journal , also are being examined by both the Financial Industry Regulatory Authority -- the industry self-regulatory body known as Finra -- and the Securities and Exchange Commission , according to people familiar with the matter .

《华尔街日报》周一在头版报导了高盛的交易业务秘密会议。知情人士说，金融业自律机构金融业监管局（Finra）和美国证券交易委员会（SEC）也都在对此事进行调查。