Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
Mondo Visione  May 13  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley & Co. LLC $2 million for short interest reporting and short sale rule violations that spanned a period of more than six years, and for failing to...
Mondo Visione  May 12  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council’s (NAC) review of its Sanction Guidelines has resulted in a number of significant revisions. In particular, the NAC is amending the...
Mondo Visione  May 8  Comment 
The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers.  The program is intended to provide...
Mondo Visione  May 2  Comment 
Chairman Garrett, Ranking Member Maloney and Members of the Subcommittee: On behalf of the Financial Industry Regulatory Authority, or FINRA, I would like to thank you for the opportunity to testify today about FINRA's operations and the...
Mondo Visione  Apr 30  Comment 
The Financial Industry Regulatory Authority (FINRA), the FINRA Investor Education Foundation and First Nations Development Institute (First Nations) have issued a joint Investor Alert called New Money Coming Into Indian Country: Plan for the Long...
Mondo Visione  Apr 28  Comment 
The Financial Industry Regulatory Authority (FINRA) announced yesterday that Avenir Financial Group, its CEO Michael Clements, and registered representative Karim Ibrahim aka Chris Allen consented to an order halting further fraudulent sales of...
Mondo Visione  Apr 23  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered RBC Capital Markets to pay a $1 million fine and approximately $434,000 in restitution to customers for supervisory failures resulting in sales of unsuitable...
Mondo Visione  Apr 20  Comment 
The Financial Industry Regulatory Authority (FINRA) has launched the toll-free FINRA Securities Helpline for SeniorsTM to provide older investors with a supportive place to get assistance from knowledgeable FINRA staff related to concerns they...
Mondo Visione  Apr 16  Comment 
The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved proposed changes to FINRA's Communications With the Public Rules, as well as amendments to the Trading Activity Fee for firms with no customers that...
Mondo Visione  Apr 15  Comment 
With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will turn 65, the staff of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA)...




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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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