Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Jul 28  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic Order Audit Trail System (OATS) reporting violations spanning a period of more than eight...
Yahoo  Jul 27  Comment 
Goldman Sachs' clearing and execution unit failed to send "a substantial number" of details about orders to a Financial Industry Regulatory Authority auditing system during a seven-year period, the regulator said on Monday. Goldman Sachs, in...
Mondo Visione  Jul 17  Comment 
Monthly Disciplinary Actions July 2015
Mondo Visione  Jul 16  Comment 
The Financial Industry Regulatory Authority (FINRA) is requesting comment on a proposal to create a new academic Trade Reporting and Compliance Engine® (TRACE®) data set that would be available to institutions of higher education. While...  Jun 24  Comment 
NEW YORK ( TheStreet) -- Wall Street's private justice system for investor disputes has been full of surprises in recent years. There was the time the Financial Industry Regulatory Authority offered a list of potential arbitrators to the...
MarketWatch  Jun 22  Comment 
Morgan Stanley Smith Barney and Scottrade were fined a total of $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise and monitor the transmittal of customer funds to third-party accounts. Morgan Stanley will be...
Mondo Visione  Jun 18  Comment 
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Plan for Transition: What You Should Know About the Transfer of Brokerage Account Assets on Death. FINRA's new Alert responds to issues raised by investors...
Financial Times  Jun 14  Comment 
US regulator calls meetings to explore potential solutions to a liquidity crunch
Mondo Visione  Jun 10  Comment 
The FINRA Investor Education Foundation (FINRA Foundation) in collaboration with Doorways to Dreams (D2D) Fund today launched an exciting new educational tool in the form of an interactive game that helps investors spot the psychological...
New York Times  Jun 6  Comment 
Ms. Axelrod keeps the financial industry following the rules from her office on the 48th floor of a building in Lower Manhattan.


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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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