Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Jul 12  Comment 
The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail investors for trades in corporate and agency bonds. The new requirements go into effect...
Mondo Visione  Jul 12  Comment 
A new requirement for securities firms to report certain transactions in Treasury securities to FINRA was implemented successfully yesterday, providing regulators with a new tool to increase understanding and enhance surveillance of this...
Mondo Visione  Jun 29  Comment 
The Financial Industry Regulatory Authority (FINRA) Board of Governors has unanimously elected as FINRA Chairman William H. Heyman, Vice Chairman and Chief Investment Officer of The Travelers Companies, Inc., effective July 18. Heyman earlier...
Mondo Visione  Jun 29  Comment 
FINRA received approval to amend FINRA Rules 12402 and 12403 of the Code of Arbitration Procedure for Customer Disputes and FINRA Rule 13403 of the Code of Arbitration Procedure for Industry Disputes to provide that the Director of FINRA’s...
Mondo Visione  Jun 13  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has established an Innovation Outreach Initiative to foster an ongoing dialogue with the securities industry that will help FINRA better understand financial technology...
Mondo Visione  Jun 12  Comment 
Good morning, and thank you, Professor [Reena] Aggarwal for that kind introduction and the invitation to join you today. Under your leadership, Georgetown’s Center for Financial Markets and Policy has come to be an important forum for discussing...
Mondo Visione  Jun 8  Comment 
The Financial Industry Regulatory Authority (FINRA) Office of the Chief Economist today posted a new Research Note on liquidity in structured products, complementing an earlier report on corporate-bond liquidity. The new analysis focused...
Mondo Visione  Jun 7  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel barred an Irvine, California-based registered representative, Jim Seol, for participating in private securities transactions, engaging in undisclosed...
Channel News Asia  Jun 1  Comment 
The Financial Industry Regulatory Authority (FINRA) said on Thursday it barred John Batista Bocchino, a former Morgan Stanley representative, for concealing around US$190 million in Venezuelan bond trades from the firm, which had restricted such...
Mondo Visione  May 31  Comment 
The Financial Industry Regulatory Authority (FINRA), in conjunction with the Certified Financial Planner Board of Standards, Inc. (CFP Board), announced today that the CFP Board has authorized continuing education credits (CE) for FINRA e-learning...


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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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