Financial Industry Regulatory Authority (FINRA)

Mondo Visione  10 hrs ago  Comment 
The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved proposed changes to FINRA's Communications With the Public Rules, as well as amendments to the Trading Activity Fee for firms with no customers that...
Mondo Visione  Apr 15  Comment 
With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will turn 65, the staff of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA)...
Mondo Visione  Mar 30  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned three firms – H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC – with fines of $425,000, $175,000 and $100,000, respectively,...
Forbes  Mar 27  Comment 
A Financial Industry Regulatory Authority (FINRA) employment advertisement from the Wall Street Journal I read in 2013 was such a hoot that I had to clip it, save it and promise myself I’d write about it someday. The newspaper ad scrap, now...
Mondo Visione  Mar 12  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Brookville Capital Partners LLC, based in Uniondale, NY, to pay full restitution of more than $1 million to the victims and fined the firm $500,000 for fraud...
Mondo Visione  Mar 9  Comment 
The FINRA Investor Education Foundation issued a new research report, Non-Traditional Costs of Financial Fraud, which found that nearly two thirds of self-reported financial fraud victims experienced at least one non-financial cost of fraud to a...
Mondo Visione  Feb 13  Comment 
FINRA mourns the loss of former FINRA Governor Harvey J. Goldschmid. Goldschmid was a stalwart defender of the investing public and contributed immeasurably to FINRA’s mission of protecting investors and ensuring market integrity. Goldschmid was...
Mondo Visione  Feb 12  Comment 
The Board of Governors of the Financial Industry Regulatory Authority (FINRA) approved a $50,000,000 contribution to the FINRA Investor Education Foundation to provide continuing support for the Foundation’s innovative research and education...
Mondo Visione  Feb 11  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that Erozan Kurtas will join the organization as Head of Advanced Data Analytics and Senior Vice President. Mr. Kurtas, who will report to Chairman and CEO Richard Ketchum and...
Mondo Visione  Feb 6  Comment 
Executive Summary FINRA is soliciting comment on a proposal to require alternative trading systems (ATSs) to submit quotation information relating to corporate and agency debt securities to FINRA solely for regulatory purposes. The proposed...


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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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