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Financial Industry Regulatory Authority (FINRA)

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Finra Upgrades Stock-Market Surveillance
Wall Street Journal  May 22  Comment 
Finra agreed to take on oversight of two more U.S. exchanges, a move that will improve its surveillance and expand its coverage to about 90% of daily stock trading.
Direct Edge Selects FINRA For Market Surveillance - With the Addition Of Direct Edge, FINRA Will Have Surveillance Oversight Of More Than 90% Of U.S. Equities Trading
Mondo Visione  May 22  Comment 
FINRA Fines Three Firms $900,000 For Inadequate Anti-Money Laundering Programs - Four Firm Executives Fined And Suspended
Mondo Visione  May 8  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three firms a total of $900,000 for failing to establish and implement adequate anti-money laundering (AML) programs and other supervisory systems to detect...
Carlo Di Florio Named FINRA's New Executive Vice President, Risk And Strategy
Mondo Visione  May 2  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that Carlo V. di Florio, currently Director of the SEC's Office of Compliance Inspections and Examinations (OCIE), will join the organization as Executive Vice President, Risk and...
Jonathan S. Sokobin Named FINRA's Chief Economist
Mondo Visione  Apr 30  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that Jonathan S. Sokobin, currently Acting Deputy Director, Research and Analysis in the Office of Financial Research at the U.S. Treasury Department, will join the organization...
FINRA withdraws brokerage transparency proposal, plans to refile
Bankstocks.com  Apr 25  Comment 
The Financial Industry Regulatory Authority (FINRA) has withdrawn a proposal designed to make it easier for investors to research the
Susan Axelrod Named FINRA's Executive Vice President Of Regulatory Operations
Mondo Visione  Apr 22  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that Susan Axelrod will become FINRA's Executive Vice President of Regulatory Operations. In this role, Axelrod will oversee Enforcement, the Office of Fraud Detection and Market...
Wall Street wants brokers' private Facebook posts
CNNMoney.com  Apr 22  Comment 
Read full story for latest details.




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Formed in July 2007, FINRA stands for the Financial Industry Regulatory Authority, a non-governmental agency regulating the securities industry which used to be called the National Association of Securities Dealers (NASD). The organization is responsible for self-regulating securities industry participants, including stock brokers, brokerage firms, and exchanges such as NASDAQ. FINRA can expel its members in the case of wrongdoing, but it cannot take legal action other than reporting the violator to the SEC. Half of the representatives on FINRA's managing Board are from the securities industry, and half are from the general public.

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FINRA administers test which some participants in the financial markets (such as stock brokers) are required to pass, such as:

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