Financial Industry Regulatory Authority (FINRA)

New York Times  Aug 18  Comment 
The Financial Industry Regulatory Authority accused Wedbush of failing to maintain proper controls, allowing customers to “flood” exchanges with trades and create the illusion of demand.
Mondo Visione  Aug 18  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Los Angeles-based Wedbush Securities Inc. for systemic supervisory and anti-money laundering (AML) violations in connection with providing...
Mondo Visione  Aug 15  Comment 
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio warning investors of promotions touting stocks in companies that claim to provide products...
Mondo Visione  Aug 14  Comment 
The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2014 Annual Meeting today in Washington, DC. In accordance with FINRA By-Laws, firms elected two Governors, one from among the small firms...
Mondo Visione  Jul 23  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that the Securities and Exchange Commission (SEC) has approved a new rule prohibiting firms and registered representatives from conditioning settlement of a customer dispute...
Mondo Visione  Jul 17  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today the formation of a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA's...  Jul 10  Comment 
LONDON (dpa-AFX) - The Financial Industry Regulatory Authority or FINRA Arbitration Panel in the matter involving Tullett Prebon Plc.(TLPR.L), BGC and certain others has issued its award, BGC Partners Inc.(BGCP) said in a statement. Tullett was...
New York Times  Jul 9  Comment 
The case of Deeb Salem, a former Goldman Sachs trader, highlights an arbitration system that is weighted toward the big Wall Street firms, William D. Cohan writes in the Street Scene column.
Wall Street Journal  Jul 9  Comment 
The inquiry comes amid mounting concerns some brokers might be sending orders to venues that provide the highest payments but not the best price for investors.
Mondo Visione  Jul 2  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred Kenneth Ronald Allen, a former equity trader at First New York Securities L.L.C., from the securities industry for trading Japanese securities on the basis of...


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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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