Financial Industry Regulatory Authority (FINRA)

Mondo Visione  May 23  Comment 
Commerce and Compliance: It’s Not a Culture War Good morning and welcome to FINRA’s Annual Conference, this year is notable in several ways, including the quality of the program and roster of speakers and attendees. Each year when we come...
Mondo Visione  May 18  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS), a total of $17 million for widespread failures related to the firms’...
Mondo Visione  May 13  Comment 
Starting on Monday, May 16, investors will be able to buy securities in early-stage companies through crowdfunding. Investors interested in taking this step should first take time to consider the risks that may be involved in investing in these...
Mondo Visione  May 11  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for inadequately supervising firm-wide internal "flash" emails sent by its research...
Mondo Visione  May 5  Comment 
Financial fraudsters often attempt to evoke strong emotions in their victims to convince them to hand over money, and seniors may be particularly vulnerable to the effects of heightened emotions on decision making. With funding and research...
Mondo Visione  May 3  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc. (MSI) $20 million and ordered it to pay $5 million to customers for making negligent material misrepresentations and omissions on...  Apr 29  Comment 
Ask a shill for the securities industry to defend the practice of forcing investors to use industry-run arbitration when they have a gripe with their brokers, and you will hear something like this: Arbitration is great for brokers and investors...
Mondo Visione  Apr 28  Comment 
The Financial Industry Regulatory Authority (FINRA) today made available to member firms its first monthly cross-market equities supervision report cards, aimed at helping firms identify and halt spoofing and layering activity. "FINRA is...
Clusterstock  Apr 27  Comment 
By Suzanne Barlyn (Reuters) - The head of a brokerage industry watchdog says he will leave behind at least one piece of unfinished business when he retires this year: improving access to data so that regulators can more quickly halt problem...


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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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