Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
TechCrunch  Sep 12  Comment 
FINRA, the non-profit organization that tasks itself with policing the securities industry, is charging Timothy Tilton Ayre of Agawam, Mass. with fraud and unlawful distribution of unregistered cryptocurrency securities. Ayre claimed that users...
Channel News Asia  Aug 20  Comment 
The Financial Industry Regulatory Authority (FINRA) has fined a unit of Interactive Brokers Group Inc US$5.5 million for violating several naked short selling rules over a period of at least three years.
MarketWatch  Aug 20  Comment 
As scrutiny around the initial coin offering (ICO) market tightens, the Financial Industry Regulatory Authority Inc. (FINRA) has issued a warning to potential investors about the risks associated with investing money into the alternative and...
Channel News Asia  Aug 14  Comment 
Nasdaq Inc and a Wall Street watchdog will raise fees for private stock trading platforms, such as "dark pools," that report trade executions to a Nasdaq-run entity, in response to higher operational costs and off-exchange trading volumes,...
Mondo Visione  Apr 16  Comment 
The Financial Industry Regulatory Authority (FINRA) has named Timothy C. Scheve, President and Chief Executive Officer of Janney Montgomery Scott LLC, as a new Large Firm Governor on its Board of Governors. Scheve was appointed to complete the...
Mondo Visione  Apr 11  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has named Bari Havlik as Executive Vice President for Member Supervision. In that capacity, Havlik will be responsible principally for leading FINRA’s Member Regulation...
Mondo Visione  Mar 29  Comment 
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert to help consumers consider the risks of sharing personal financial account information and other sensitive information with data aggregators. Companies that...
Mondo Visione  Mar 28  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $550,000 for failing to have adequate supervisory and anti-money laundering (AML) programs tailored to detect "red flags" or suspicious...
Mondo Visione  Mar 15  Comment 
FINRA is proposing to amend FINRA Rules 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes to eliminate the...
Mondo Visione  Mar 14  Comment 
FINRA’s Board of Governors held its first meeting of 2018 on March 7-8 in New York, where it approved two new rule proposals and FINRA’s 2018 corporate goals, as well as reviewed the progress of the ongoing FINRA360 organizational...




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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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