Financial Industry Regulatory Authority (FINRA)

Financial Times  Sep 19  Comment 
US agency has approved plans that seek higher levels of transparency and disclosure, moves that follow sweeping reforms from the SEC
Mondo Visione  Sep 19  Comment 
The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved a series of proposed rule changes regarding high-speed and algorithmic trading. The proposals follow FINRA's meeting today, where much of the...
Mondo Visione  Sep 18  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. ...


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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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