National Securities Association | Practical Law

National Securities Association | Practical Law

National Securities Association

National Securities Association

Practical Law Glossary Item 4-588-3145 (Approx. 2 pages)

Glossary

National Securities Association

An association of broker-dealers registered with the SEC under Section 15A of the Exchange Act. Currently, the only national securities association is the Financial Industry Regulatory Authority (FINRA). Broker-dealers that engage in securities transactions in the over-the-counter markets must be members of FINRA.