Financial Industry Regulatory Authority (FINRA)

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...
Mondo Visione  Feb 22  Comment 
FINRA is proposing to amend FINRA Rules 12600 and 12800 of the Code of Arbitration Procedure for Customer Disputes and FINRA Rules 13600 and 13800 of the Code of Arbitration Procedure for Industry Disputes to amend the hearing provisions to...
Mondo Visione  Feb 16  Comment 
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of financial scams in which con artists are posing as regulators to make fraudulent investment pitches. Recently, financial...
Mondo Visione  Feb 13  Comment 
The FINRA Investor Education Foundation (FINRA Foundation) today announced the appointment of three new members to its Board of Directors: Mari J. Buechner, President and Chief Executive Officer, Coordinated Capital Securities,...
Mondo Visione  Feb 12  Comment 
Good morning. It’s great to have this opportunity to be with you today. My colleague in Member Regulation, Sales Practice, Mike Rufino, will be talking about FINRA’s regulatory and examination priorities during the next session, so I...
Mondo Visione  Feb 8  Comment 
The Financial Industry Regulatory Authority (FINRA) today released a paper providing perspectives on customer recovery of judgments and awards in the financial services industry, with a particular focus on the arbitration forum operated by FINRA....
Mondo Visione  Feb 5  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection and Net Capital Rules, and for related...
Mondo Visione  Feb 5  Comment 
Two FINRA rule changes took effect today addressing the financial exploitation of seniors and vulnerable adults, putting in place the first uniform, national standards to protect senior investors. Firms are now required to make reasonable efforts...


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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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