FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY

Providing services to regulate the securities industry in order to maintain the integrity of the marketplace for the benefit and protection of investors, namely, providing and maintaining a registry of member firms and their employees, investment advisors and individuals and entities within the securities and investment industry; promoting the services of others, namely, advertising and marketing a series of discounted insurance, mail delivery and telecommunications services to members; on-line retail store services featuring booklets and manuals dealing with the securities and investment industry, and featuring clothing, hats, bags, office supplies and accessories, watches, paper goods, umbrellas, and coffee mugs; business services for others, namely, providing an online database featuring employment and disciplinary information regarding professionals in the securities and investment advisor industries; providing for others an on-line computer database with information regarding the professional background, business practices and conduct of registered financial brokerage firms and their registered employees and investment advisors; providing for others information regarding the professional background, business practices and conduct of registered financial brokerage firms and their registered employees in response to telephone and email inquiries; providing for others monitoring and information concerning securities markets around the world to determine compliance with regulations; association services, namely, creating and enforcing rules that govern the conduct of securities investment firms and their employees; regulating the securities and investment industries, namely, enforcement of securities regulations and securities trade rules, investigation to evaluate compliance with securities regulations and securities trade rules, disciplining securities firms and individuals who violate securities rules and laws, and investigation of investor complaints regarding the business conduct of an investment firm or professional; testing and examination to determine professional competency of brokerage firms and their employees

Financial consulting services for others, namely, providing analysis of securities market regulations, management and operations, providing advice regarding the structure and regulation of securities markets; providing an on-line computer database of information in the field of securities and equities trading, corporate bond transactions, securities regulation, financial investments, namely, securities, securities firms, broker/dealers and investment advisors, grants, investor protection, and rules to govern securities day-trading activities; providing an on-line computer database with information regarding pricing and quotes for bonds, equities and securities, reports on bonds, equities and securities trades, and comparisons of bonds, equities and securities trades

Educational services, namely, conducting seminars, conferences and workshops in the fields of securities regulation and compliance, investor education, and providing continuing education programs for securities industry professionals

Providing online non-downloadable software, namely, an online database pertaining to securities transactions, securities customer and account; providing online non-downloadable software, namely, an online repository for tracking, maintaining, processing and storing data; electronic data storage; providing online non-downloadable software, namely, providing software for monitoring, tracking, logging, analyzing, auditing and reporting in the fields of regulatory compliance and financial securities; Providing online non-downloadable software for archiving and retrieving data

Arbitration, mediation and dispute resolution services