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Wednesday, April 09, 2014 3:53:58 PM
Although it enforces laws as does the SEC, FINRA, as an SRO, is overseen by the SEC. FINRA can take disciplinary action against stock brokers and brokerage firms but not against OTC companies even though it often cooperates with the SEC in investigations. Any actions disciplinary actions taken against public companies must be made by the SEC.
This definition of an SRO still refers to FINRA as NASD:
http://www.investopedia.com/terms/s/sro.asp
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