Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
Mondo Visione  Jan 10  Comment 
Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon. I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and...
Mondo Visione  Dec 21  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined 12 firms a total of $14.4 million for significant deficiencies relating to the preservation of broker-dealer and customer records in a format that prevents...
Mondo Visione  Dec 15  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that J. Bradley (Brad) Bennett will leave FINRA early next year. Bennett has served as FINRA’s Chief of Enforcement for nearly six years, overseeing 300 enforcement staff in 14...
Mondo Visione  Dec 12  Comment 
FINRA has received approval to amend Rule 12400, Code of Arbitration Procedure for Customer Disputes and Rule 13400, Code of Arbitration Procedure for Industry Disputes relating to broadening chairperson eligibility in arbitration. Please...
Mondo Visione  Dec 9  Comment 
The Financial Industry Regulatory Authority (FINRA) has asked former Wells Fargo bank employees whose securities registrations were terminated to contact FINRA if they have concerns about the notice filed by Wells Fargo regarding their...
Mondo Visione  Dec 5  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision and other violations. FINRA found that Credit Suisse’s...
Mondo Visione  Dec 5  Comment 
FINRA has received approval to amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to require all parties, except customers who are not represented by an attorney or other...
Reuters  Nov 30  Comment 
The Financial Industry Regulatory Authority said on Wednesday it fined Bank of America Merrill Lynch $7 million for inadequate supervision of client brokerage accounts that used leverage to buy Puerto Rican municipal bonds and other securities.
Mondo Visione  Nov 28  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Houston-based VALIC Financial Advisors, Inc. (VFA), a total of $1.75 million for failing to identify and reasonably address certain conflicts of interest in the...
Mondo Visione  Nov 23  Comment 
The FINRA Investor Education Foundation (FINRA Foundation) announced a new prize program today to recognize outstanding service and research to advance investor protection and financial capability in the United States. The prize is named for...




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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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