Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Dec 18  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered two St. Louis-based broker-dealers under common control, Wells Fargo Advisors (WFA) and Wells Fargo Advisors Financial Network (WFAFN), to pay a joint fine of...
Mondo Visione  Dec 16  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million for fair pricing and supervisory violations in connection with more than 700 retail customer...
Mondo Visione  Dec 15  Comment 
SIFMA today announced the findings of a new survey of investor attitudes towards FINRA's Comprehensive Automated Risk Data System (CARDS) proposal. The survey, commissioned by SIFMA and conducted online in November by Harris Poll among 1,103...
Mondo Visione  Dec 10  Comment 
The Financial Industry Regulatory Authority (FINRA) has named Joseph M. Mecane as the Floor Member Governor on FINRA's Board of Governors. Mr. Mecane is currently a Managing Director of Electronic Equities and Credit Products at Barclays. Mr....
Mondo Visione  Dec 9  Comment 
The Financial Industry Regulatory Authority (FINRA) issued two Retrospective Rule Review Reports assessing, respectively, the effectiveness and efficiency of FINRA's communications with the public rules and FINRA's rules on gifts, gratuities and...
Mondo Visione  Dec 1  Comment 
SIFMA today submitted a comment letter to the Financial Industry Regulatory Authority (FINRA) expressing significant concerns with FINRA's proposal for the development of a Comprehensive Automated Risk Data System (CARDS). The letter includes two...
New York Times  Nov 24  Comment 
Citigroup agreed to settle the case with Finra for $15 million without admitting or denying the accusations, which involved interactions between the bank’s research analysts and its clients.
Mondo Visione  Nov 18  Comment 
The Financial Industry Regulatory Authority (FINRA) has named two new Public Governors—Joshua S. Levine and Robert W. Scully—to its Board of Governors. Mr. Levine is a recognized leader in financial services technology. Earlier in his...


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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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