Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Oct 9  Comment 
Executive Summary FINRA reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements or any other documents, including...
Mondo Visione  Oct 8  Comment 
Executive Summary In 2013, the SEC amended paragraph (f)(2) of SEA Rule 17a-5 to revise the statement regarding identification of a broker-dealer’s independent public accountant that broker-dealers must file with the SEC and FINRA, as...  Oct 8  Comment 
NEW YORK (TheStreet) -- Did you hear the one about the guy who got on a Finra arbitration panel even though he'd pled no-contest after being indicted for practicing law without a license? How about the time Finra sent a list of potential...
Mondo Visione  Oct 6  Comment 
Executive Summary FINRA is updating the imbedded text of Securities Exchange Act (SEA) financial responsibility rules for broker-dealers in the Interpretations of Financial and Operational Rules to reflect the effectiveness of amendments the...
Mondo Visione  Oct 1  Comment 
The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of registration for the first Compliance Outreach Program for Municipal...
Mondo Visione  Sep 30  Comment 
The Financial Industry Regulatory Authority (FINRA) today issued Regulatory Notice 14-37 requesting comment on a proposed rule to implement the Comprehensive Automated Risk Data System (CARDS). CARDS would be designed to enhance investor...
Financial Times  Sep 19  Comment 
US agency has approved plans that seek higher levels of transparency and disclosure, moves that follow sweeping reforms from the SEC
Mondo Visione  Sep 19  Comment 
The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved a series of proposed rule changes regarding high-speed and algorithmic trading. The proposals follow FINRA's meeting today, where much of the...


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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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