Send us Feedback

Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
FYI, FINRA Cites Small Firm For Alphabet Soup of AML,OBA,PST,and WSP
Forbes  2 hrs ago  Comment 
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue,...
FINRA fines Citigroup Global Markets $3.5m for inaccurate RMBS data
Banking Business Review  May 23  Comment 
The Financial Industry Regulatory Authority (FINRA) has fined Citigroup Global Markets $3.5m for providing inaccurate mortgage performance information related to subprime residential mortgage-backed securitizations (RMBS).
Finra: It's Nasdaq's Call on Covering Facebook Losses
Wall Street Journal  May 22  Comment 
Nasdaq will make the final decisions on making up losses sustained by brokers and traders after glitches struck the initial public offering of Facebook, the Financial Industry Regulatory Authority said.
SEC, FINRA call for probe of Facebook IPO as stock slides
The Globe and Mail  May 22  Comment 
SEC, FINRA to review Facebook issues, Nasdaq sued
Reuters  May 22  Comment 
SEC, FINRA to review Facebook issues, Nasdaq sued
Reuters  May 22  Comment 
Two top U.S. financial regulators said the issues around the initial public offering of Facebook should be reviewed, putting fresh pressure on the company, its embattled lead underwriter and the Nasdaq.
FINRA fines Citigroup Global Markets $3.5 million
Reuters  May 22  Comment 
The Financial Industry Regulatory Authority (FINRA) has fined Citigroup Global Markets $3.5 million for providing inaccurate information related to subprime securitizations.
Former Merrill Lynch Colleagues Sue Each Other In FINRA Arbitration
Forbes  May 22  Comment 
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2010, Claimant Turbeville sought to recover unspecified dollar amounts of compensatory and punitive damages, attorneys, fees, and costs as a...
Wall Street Regulator FINRA Sings Kumbayah In Regulatory Fight Against Conflicts And Unsuitability
Forbes  May 22  Comment 
Been There. Done That. More Tired Solutions To Wall Street's Serious Problems.
SEC, FINRA to review Facebook issues, Nasdaq sued
Reuters  May 22  Comment 
Two top U.S. financial regulators said the issues around the initial public offering of Facebook should be reviewed, putting fresh pressure on the company, its embattled lead underwriter and the Nasdaq.
Dinan & Company launches ConfidentCrowd For FINRA broker-dealers
Banking Business Review  May 21  Comment 
Dinan & Company, an investment bank has launched a new crowdfunding portal, called ConfidentCrowd at Financial Industry Regulatory Authority (FINRA) 2012 Annual Conference in Washington, US.
Groupon's Pre-Earnings Spike Spurs FINRA Investigation
Forbes  May 18  Comment 
Stocks often make big moves after earnings reports. When there's a big move right before a report, regulators take notice. The obvious question: Who knew what when?




RELATED WIKI ARTICLES

Related Articles

more ▼WIKI ANALYSIS
This article is part of WikiProject Definitions. Consider editing to improve it. View articles referencing this definition.
 

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.

FINRA administers test which some participants in the financial markets (such as stock brokers) are required to pass, such as:

Retrieved from "http://www.wikinvest.com/wiki/Financial_Industry_Regulatory_Authority_(FINRA)"
Wikinvest © 2006, 2007, 2008, 2009, 2010, 2011, 2012. Use of this site is subject to express Terms of Service, Privacy Policy, and Disclaimer. By continuing past this page, you agree to abide by these terms. Any information provided by Wikinvest, including but not limited to company data, competitors, business analysis, market share, sales revenues and other operating metrics, earnings call analysis, conference call transcripts, industry information, or price targets should not be construed as research, trading tips or recommendations, or investment advice and is provided with no warrants as to its accuracy. Stock market data, including US and International equity symbols, stock quotes, share prices, earnings ratios, and other fundamental data is provided by data partners. Stock market quotes delayed at least 15 minutes for NASDAQ, 20 mins for NYSE and AMEX. Market data by Xignite. See data providers for more details. Company names, products, services and branding cited herein may be trademarks or registered trademarks of their respective owners. The use of trademarks or service marks of another is not a representation that the other is affiliated with, sponsors, is sponsored by, endorses, or is endorsed by Wikinvest.
Powered by MediaWiki