Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
Mondo Visione  4 hrs ago  Comment 
The Financial Industry Regulatory Authority (FINRA) Board of Governors today unanimously elected John J. “Jack” Brennan, Vanguard Group Chairman Emeritus and Senior Advisor, as FINRA Chairman effective Aug. 15, 2016. Brennan has served as...
Mondo Visione  Jul 12  Comment 
While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for millions — particularly women, millennials, African-Americans, Hispanics, and those lacking a high school education. These findings come...
Mondo Visione  Jun 29  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to provide complete and accurate trade data in an automated format in a timely manner when requested by FINRA and...
Mondo Visione  Jun 23  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $5 million for negligent disclosure failures in connection with the sale of five-year senior debt notes to retail...
Forbes  Jun 20  Comment 
FINRA helpline leads to $1.6 million in reimbursements to seniors.
Mondo Visione  Jun 14  Comment 
One of the best places to work in information technology happens to be in financial regulation: the Financial Industry Regulatory Authority (FINRA), according to IDG’s Computerworld. This is the fifth year in a row that FINRA has placed...
newratings.com  Jun 14  Comment 
WASHINGTON (dpa-AFX) - The Financial Industry Regulatory Authority or FINRA on Monday announced the appointment of Robert Cook, a former SEC senior official, as its President and Chief Executive Officer, effective the second half of 2016. He is...
Mondo Visione  Jun 13  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors has concluded the CEO search, and appointed Robert W. Cook as President and Chief Executive Officer, effective the second half of 2016. Mr. Cook will...
New York Times  Jun 3  Comment 
Forced arbitration can circumvent legal rights, but Finra’s version of arbitration comes with an additional dollop of what seems like bias.
Mondo Visione  Jun 2  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality of execution of its customers’ orders and for supervisory...




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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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