Financial Industry Regulatory Authority (FINRA)

Mondo Visione  11 hrs ago  Comment 
The Financial Industry Regulatory Authority (FINRA) marked the 75th anniversary of the creation of the National Association of Securities Dealers (NASD) in 1939. In 1938, the Maloney Act amended the Securities Exchange Act of 1934 to provide for...
Clusterstock  Sep 11  Comment 
By Suzanne Barlyn (Reuters) - The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar with the matter. FINRA, Wall Street's...
Mondo Visione  Sep 11  Comment 
CBOE Holdings, Inc. (NASDAQ: CBOE) today announced that Chicago Board Options Exchange (CBOE) and C2 Options Exchange(C2) are in discussions with the Financial Industry Regulatory Authority (FINRA) on a potential agreement for FINRA to...
Mondo Visione  Sep 4  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that Linda D. Fienberg, President, FINRA Dispute Resolution, and Chief Hearing Officer is planning to leave the organization at the end of November. Ms. Fienberg joined FINRA in...
Forbes  Sep 3  Comment 
Both the SEC and FINRA approve the use of social media to educate investors.  Aug 27  Comment 
WASHINGTON (dpa-AFX) - The Financial Industry Regulatory Authority (FINRA) on Tuesday slapped a fine of $1.85 million on financial services giant Citigroup, Inc.'s (C) Citigroup Global Markets, Inc. unit for customer transactions violations. ...
Mondo Visione  Aug 26  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets Inc. $1.85 million for failing to provide best execution in approximately 22,000 customer transactions involving non-convertible...
New York Times  Aug 18  Comment 
The Financial Industry Regulatory Authority accused Wedbush of failing to maintain proper controls, allowing customers to “flood” exchanges with trades and create the illusion of demand.
Mondo Visione  Aug 18  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Los Angeles-based Wedbush Securities Inc. for systemic supervisory and anti-money laundering (AML) violations in connection with providing...
Mondo Visione  Aug 15  Comment 
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio warning investors of promotions touting stocks in companies that claim to provide products...


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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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