Financial Industry Regulatory Authority (FINRA)

MarketWatch  Aug 24  Comment 
Regulator finds company had cash inflows that exceeded amounts it could invest with existing facilities.
Yahoo  Aug 19  Comment 
Wall Street's self-regulatory body has been probing Bank of America Merrill Lynch over its failure to detect the activities of a former financial adviser, who pleaded guilty to helping a client cover up an insider-trading scheme and launder the...
Mondo Visione  Aug 12  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StockCross Financial Services, Inc. $800,000 for Regulation SHO violations and for related supervisory violations that spanned more than three years. As part of...
Mondo Visione  Aug 6  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for churning customers’...
Mondo Visione  Aug 3  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $950,000 for improperly selling unregistered penny stocks and for related supervisory failures, and for failing to implement anti-money...
Mondo Visione  Jul 31  Comment 
The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2015 Annual Meeting today in Washington, D.C. In accordance with FINRA By-Laws, firms elected three Governors, one from among the small...
Mondo Visione  Jul 28  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic Order Audit Trail System (OATS) reporting violations spanning a period of more than eight...
Yahoo  Jul 27  Comment 
Goldman Sachs' clearing and execution unit failed to send "a substantial number" of details about orders to a Financial Industry Regulatory Authority auditing system during a seven-year period, the regulator said on Monday. Goldman Sachs, in...
Mondo Visione  Jul 17  Comment 
Monthly Disciplinary Actions July 2015
Mondo Visione  Jul 16  Comment 
The Financial Industry Regulatory Authority (FINRA) is requesting comment on a proposal to create a new academic Trade Reporting and Compliance Engine® (TRACE®) data set that would be available to institutions of higher education. While...


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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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