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FINRA regulates trading in equities, corporate bonds, securities futures, and options. All firms dealing in securities that are not regulated by another SRO, such as by the Municipal Securities Rulemaking Board (MSRB), are required to be member firms of the FINRA.n July 2007, the SEC approved the formation of a new SRO to be a successor to NASD. The NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange were then consolidated into the Financial Industry Regulatory Authority (FINRA).
But the FCA will also regulate the conduct of those firms that are prudentially regulated by the PRA. Groups containing both dual-regulated and FCA-regulated firms are likely to be affected as if they were dual-regulated. Lloyd's (the Society of Lloydâs and Lloydâs managing agents) will also be dual-regulated.n the case of UK subsidiaries of overseas insurers, PRA supervision will mirror that for UK insurers. But it will have only limited prudential powers over branches of EEA insurers operating in the UK. In such cases, the most it can do is seek to influence the supervisory approach of the home state regulator.