Financial Industry Regulatory Authority (FINRA)

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...
Mondo Visione  Feb 15  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled Plano, TX-based broker-dealer Red River Securities, LLC, barred its CEO Brian Keith Hardwick, and ordered the firm and Hardwick to jointly...
Mondo Visione  Feb 9  Comment 
Good morning. It’s great to have this opportunity to be with you today to talk about anti-money laundering (AML), an area of significant regulatory focus both for the industry and regulators alike. AML isn’t just a regulatory issue; it is...
Mondo Visione  Feb 9  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors has approved the promotion of Marcia E. Asquith to Executive Vice President, Board and External Relations. Jennifer Piorko Mitchell was promoted to...
Mondo Visione  Feb 8  Comment 
The Financial Industry Regulatory Authority (FINRA) today released a  status report  on the recommendations made in the FINRA Dispute Resolution Task Force’s  Final Report  issued in December 2015. In July 2014, FINRA had formed...


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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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