Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Oct 20  Comment 
The Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) proposed rules addressing the financial exploitation of seniors and other vulnerable adults. FINRA is proposing amendments that would...
Mondo Visione  Oct 19  Comment 
The Securities and Exchange Commission has approved FINRA’s proposal to require its members to report certain transactions in Treasury Securities to FINRA’s Trade Reporting and Compliance Engine (TRACE). FINRA has set July 10, 2017 as the...
Mondo Visione  Oct 18  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit Trail System (OATS) reporting, books and records, and related...
Mondo Visione  Oct 3  Comment 
The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors to...
Mondo Visione  Oct 3  Comment 
Beginning today, FINRA is expanding its alternative trading system (ATS) transparency initiative by publishing monthly information on block-size trades occurring on ATSs. The data is available free of charge on FINRA’s website. Under the...
Mondo Visione  Sep 23  Comment 
FINRA has received approval to amend Rule 12403 of its Code of Arbitration Procedure for Customer Disputes relating to the panel selection process in arbitration. Please refer to MIAX Regulatory Circular 2016-37 for further...
Mondo Visione  Sep 22  Comment 
Chairman Garrett, Ranking Member Maloney and Members of the Subcommittee: On behalf of the Financial Industry Regulatory Authority, or FINRA, I would like to thank you for the opportunity to testify today about FINRA’s role in overseeing the...
Mondo Visione  Sep 20  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has sanctioned Avenir Financial Group, fining the NY-based firm $229,000 and suspending it for two years from engaging in any self-offerings of...
Mondo Visione  Sep 19  Comment 
The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2016 Annual Meeting today in Washington, D.C. In accordance with FINRA By-Laws, small firms elected one Governor. FINRA also named two new...
Mondo Visione  Sep 13  Comment 
FINRA has filed to amend Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes relating to broadening chairperson eligibility in arbitration. Please...


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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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