Q: What exactly is the role of the Financial Industry Regulatory Authority, Inc. ?

A: The National Association of Securities Dealers is a non-profit organization whose primary purposes are to: (i) protect investors from illegal actions by listed companies and broker-dealers, (ii) establish and implement rules of practice for broker-dealers and (iii) to arbitrate disputes between broker-dealers and investors. After the Securities and Exchange Commission declares a registration statement effective, the Financial Industry Regulatory Authority, Inc. reviews the details to determine whether the stock should be listed for trading. For more information about FINRA, you can visit their website at www.FINRA.org

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