Term	Book	Chapter	Definition
Financial Industry Regulatory Authority (FINRA)	Certified Financial Planner (CFP) Exam	Appendices	A non-governmental organization that regulates member brokerage firms and exchange markets.
Financial Industry Regulatory Authority (FINRA)	Securities Industry Essentials (SIE) Exam	Chapter 2: Understanding the Securities Industry	A self-regulatory organization (SRO) that oversees broker-dealers and enforces rules designed to protect investors.
Financial Industry Regulatory Authority (FINRA)	U.S. Securities Regulation	Chapter 2: The Securities Exchange Act of 1934	One of the securities industry’s self-regulatory organizations that the SEC is empowered to oversee.