Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Mar 29  Comment 
SIFMA today submitted comments to the Financial Industry Regulatory Authority (FINRA) regarding FINRA’s proposed amendments to FINRA Rule 4210 to establish margin requirements for transactions in the “to-be-announced” (“TBA”) market (the...
Mondo Visione  Mar 21  Comment 
SIFMA today submitted comments to the Financial Industry Regulatory Authority (FINRA) regarding FINRA’s concept proposal to develop a Comprehensive Automated Risk Data System (CARDS). While SIFMA supports FINRA’s goal of utilizing technology...
Mondo Visione  Mar 18  Comment 
The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the regional compliance outreach programs for broker-dealers that will take place in Denver, Los...
Clusterstock  Mar 13  Comment 
An investor alert from the Financial Industry Regulatory Authority (FINRA) titled "Bitcoin: More Than A Bit Risky" paints the currency as a shady and troubled speculative vehicle ultimately doomed to fail. For example: Bitcoin use is limited...
Mondo Visione  Mar 11  Comment 
The Financial Industry Regulatory Authority (FINRA) issued a new investor alert called Bitcoin: More than a Bit Risky to caution investors that buying and using digital currency such as Bitcoin carry risks. While speculative trading in bitcoins...
Mondo Visione  Mar 6  Comment 
BrokerCheck is the only free online tool of its kind available to the public 24 hours a day, seven days a week. There are no forms to fill out and submit, and there is neither a time delay nor a cost to investors who receive a report. In fact,...
DailyFinance  Feb 28  Comment 
JUPITER, FL -- (Marketwired) -- 02/28/14 -- RenuEn Corporation (OTC Pink: RENUD) (OTC Pink: RENU), a Renewable Energy Development and EPC Company, announced today that FINRA has approved the company's request to complete a 1 for 50 stock...
Mondo Visione  Feb 20  Comment 
The Securities and Exchange Commission today announced that it has named Stephen Luparello as director of its Division of Trading and Markets. Mr. Luparello comes to the SEC from the law firm of WilmerHale, where he has been a partner in its...
DailyFinance  Feb 19  Comment 
LOS ANGELES, CA -- (Marketwired) -- 02/19/14 -- BioCorRx Inc. ('the Company") (OTCQB: BICX) is pleased to announce that Financial Industry Regulatory Authority ("FINRA") has approved the Company's application for a name change from Fresh Start...
Mondo Visione  Feb 13  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors approved a rule proposal that would prohibit firms and associated persons from conditioning settlements of customer disputes on, or otherwise...


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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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