Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
Mondo Visione  Nov 28  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Houston-based VALIC Financial Advisors, Inc. (VFA), a total of $1.75 million for failing to identify and reasonably address certain conflicts of interest in the...
Mondo Visione  Nov 23  Comment 
The FINRA Investor Education Foundation (FINRA Foundation) announced a new prize program today to recognize outstanding service and research to advance investor protection and financial capability in the United States. The prize is named for...
Mondo Visione  Nov 18  Comment 
The Securities and Exchange Commission has approved FINRA’s proposal requiring its member firms to disclose on retail customer confirmations the “mark-up” or “mark-down” for most transactions in corporate and agency debt securities. The...
Mondo Visione  Nov 17  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1.575 million and ordered the firm to pay $1.85 million to customers for failing to report required information to FINRA, failing to...
Mondo Visione  Nov 16  Comment 
Good afternoon. Thanks John [D’Antona], for that introduction, and thanks to MarketsMedia for the invitation to talk with you today. It’s always a pleasure to be at a forum like this that’s focused on pressing equity market structure...
Mondo Visione  Nov 10  Comment 
The Financial Industry Regulatory Authority (FINRA) has named a new Large-Firm Governor – Stephen M. Cutler, Vice Chairman of JPMorgan Chase & Co. – to its Board of Governors. Cutler was appointed to complete the term of former Governor...
Mondo Visione  Nov 8  Comment 
At the beginning of October 2016, the Financial Industry Regulatory Authority (FINRA) began its monthly initiative releasing new data on block liquidity in alternative trading systems (ATSs). TABB Group’s latest report, “Blocks in the Dark:...
Mondo Visione  Nov 2  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined eight firms, including VOYA Financial Advisors, five broker-dealer subsidiaries of Cetera Financial Group, Kestra Investment Services, LLC, and FTB Advisors,...
Mondo Visione  Oct 20  Comment 
The Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) proposed rules addressing the financial exploitation of seniors and other vulnerable adults. FINRA is proposing amendments that would...
Mondo Visione  Oct 19  Comment 
The Securities and Exchange Commission has approved FINRA’s proposal to require its members to report certain transactions in Treasury Securities to FINRA’s Trade Reporting and Compliance Engine (TRACE). FINRA has set July 10, 2017 as 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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