Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Apr 12  Comment 
The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing the participation of its member firms in capital raising, as part of a continuing effort to modernize its regulation of those activities while...
Mondo Visione  Apr 10  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council (NAC) revised the Sanction Guidelines to include a new principal consideration that contemplates coverage for financial exploitation of...
Mondo Visione  Mar 30  Comment 
The Securities and Exchange Commission has approved FINRA’s rule proposal addressing financial exploitation of seniors. FINRA today issued Regulatory Notice 17-11 announcing a February 5, 2018 effective date for the rule proposal. The...
Mondo Visione  Mar 25  Comment 
Good afternoon. Thank you, Merritt [Fox], for that kind introduction and for the invitation to speak with you this afternoon. It’s a pleasure to be with you today and to participate in this ambitious initiative to conduct a New Special Study of...
Mondo Visione  Mar 21  Comment 
The Financial Industry Regulatory Authority (FINRA) today issued a Special Notice seeking comment on how to enhance its programs for engagement with its members and other stakeholders, with particular focus on FINRA’s advisory and ad hoc...
Mondo Visione  Mar 15  Comment 
The Financial Industry Regulatory Authority (FINRA) has announced the appointment of Nathaniel Stankard as Senior Advisor to the CEO, effective immediately. In his new position, Stankard will provide counsel and strategic advice to President and...
Mondo Visione  Mar 9  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a proposal with the Securities and Exchange Commission (SEC) to streamline competency exams and facilitate opportunities for professionals seeking to enter or...
Mondo Visione  Mar 1  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former K.C. Ward Financial registered representative Craig David Dima for making unauthorized and unsuitable trades totaling approximately $15 million in a...
Mondo Visione  Feb 27  Comment 
FINRA today launched its new Academic Corporate Bond TRACE Data product, an enhanced historical data product available solely to institutions of higher education. The product supports and encourages academic research on corporate bonds by...
Mondo Visione  Feb 22  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that Albany, New York-based Purshe Kaplan Sterling Investments (PKS) will pay nearly $3.4 million in restitution to a Native American tribe, after the tribe paid excessive sales...


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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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