Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
Mondo Visione  May 23  Comment 
The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its Special Meeting on May 19, 2017, to elect one Large-Firm Governor to the FINRA Board of Governors. Andrew S. Duff, Chairman and CEO of Piper...
Mondo Visione  May 18  Comment 
Good morning, and thank you Chip [Jones, FINRA’s Head of Member Relations and Education]. We all owe a debt of gratitude to Chip and his fantastic team for once again organizing an excellent conference, including more than 50 expert panel...
Cellular News  May 17  Comment 
FINRA Annual Conference - CellTrust Corporation, a global leader in traceable, secure mobile communication and message aggregation, today announced the availability of CellTrust SL2™-the next generation of CellTrust...
Mondo Visione  May 15  Comment 
The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing outside business activities and private securities transactions as part of a new retrospective rule review. The review aligns with the...
Mondo Visione  May 11  Comment 
The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA's ongoing initiative to strengthen controls on brokers with a history of significant past misconduct and to ensure greater accountability for...
Mondo Visione  May 3  Comment 
Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for...
Mondo Visione  May 3  Comment 
The Financial Industry Regulatory Authority (FINRA) today issued the following statement on the confirmation of Walter J. “Jay” Clayton III as Chairman of the Securities and Exchange Commission. “FINRA would like to extend...
Forbes  Apr 19  Comment 
5 areas of possible upcoming guidance from FINRA in response to the financial services industry's questions about social media.
Mondo Visione  Apr 12  Comment 
The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing the participation of its member firms in capital raising, as part of a continuing effort to modernize its regulation of those activities while...
Mondo Visione  Apr 10  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council (NAC) revised the Sanction Guidelines to include a new principal consideration that contemplates coverage for financial exploitation of...




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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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