Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
TheStreet.com  Jun 24  Comment 
NEW YORK ( TheStreet) -- Wall Street's private justice system for investor disputes has been full of surprises in recent years. There was the time the Financial Industry Regulatory Authority offered a list of potential arbitrators to the...
MarketWatch  Jun 22  Comment 
Morgan Stanley Smith Barney and Scottrade were fined a total of $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise and monitor the transmittal of customer funds to third-party accounts. Morgan Stanley will be...
Mondo Visione  Jun 18  Comment 
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Plan for Transition: What You Should Know About the Transfer of Brokerage Account Assets on Death. FINRA's new Alert responds to issues raised by investors...
Financial Times  Jun 14  Comment 
US regulator calls meetings to explore potential solutions to a liquidity crunch
Mondo Visione  Jun 10  Comment 
The FINRA Investor Education Foundation (FINRA Foundation) in collaboration with Doorways to Dreams (D2D) Fund today launched an exciting new educational tool in the form of an interactive game that helps investors spot the psychological...
New York Times  Jun 6  Comment 
Ms. Axelrod keeps the financial industry following the rules from her office on the 48th floor of a building in Lower Manhattan.
Mondo Visione  Jun 3  Comment 
FINRA has amended Rules 12214 and 12601 of its Code of Arbitration Procedure for Customer Disputes and Rules 12214 and 12601 of its Code of Arbitration Procedure for Industry Disputes. MIAX Rule 1107 incorporates by reference the rules of...
Forbes  Jun 3  Comment 
Instilling a Culture of Compliance, Cybersecurity and Senior Investors are among the Top 10 compliance priorities for FINRA, the regulator of the financial industry.
Mondo Visione  Jun 1  Comment 
The Financial Industry Regulatory Authority (FINRA) today brought transparency to the asset-backed securities market, providing investors with post-trade price information for asset-backed securities, including those backed by auto loans, credit...
Mondo Visione  Jun 1  Comment 
The Financial Industry Regulatory Authority (FINRA) today launched a national ad campaign promoting BrokerCheck (brokercheck.finra.org), FINRA's free online tool that allows investors to access information about every broker's employment history,...




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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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