Financial Industry Regulatory Authority (FINRA)

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...
DailyFinance  Jul 2  Comment 
Company Receives Effective Date From FINRA for Name ChangeTEMPE, AZ -- (Marketwired) -- 07/02/14 -- American Green (OTC Pink: ERBB) (PINKSHEETS: ERBB) received word from FINRA last Friday that the regulatory body has completed its review of the...
Mondo Visione  Jun 30  Comment 
The Financial Industry Regulatory Authority (FINRA) today began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing transparency to a market that had previously operated in the dark. 144A transactions—resales...
Wall Street Journal  Jun 20  Comment 
Finra increased 2014 compensation for CEO Richard Ketchum by 11% to $2.5 million, according to the Wall Street-self-regulator's annual report.


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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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