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Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
FINRA Bars California Broker For Insider Trading
Mondo Visione  Nov 4  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced that a former registered representative, Abhishek Uppal, has been barred from the securities industry for engaging in insider trading earlier this year.
AMF And FINRA Sign MoU On Financial Market Surveillance And Supervision
Mondo Visione  Oct 29  Comment 
Richard G. Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority (FINRA), and Jean-Pierre Jouyet, Chairman of the Autorité des marchés financiers (AMF), signed on 19 October 2009 a memorandum of understanding (MoU) on...
Rick Ketchum Chairman And CEO, FINRA, Securities Industry And Financial Markets Association (SIFMA) Annual Meeting, New York, NY
Mondo Visione  Oct 28  Comment 
Thank you for that introduction, and thank you all for coming. As all of you know, we are at an important moment in the debate over financial regulation and the future profile of financial markets in the United States, and throughout the world. So...
Facebook challenges financial regulators - FINRA
Reuters  Oct 28  Comment 
Social networking sites like Facebook and LinkedIn raise "serious new challenges" for financial regulators, the head of the largest U.S. independent securities regulator said on Tuesday.
FINRA: Scottrade Fined $600,000 For Inadequate Anti-Money Laundering Program - Firm Failed To Adequately Monitor For Suspicious Transactions
Mondo Visione  Oct 26  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Scottrade $600,000 for failing to establish and implement an adequate anti-money laundering (AML) program to detect and trigger reporting of suspicious...
FINRA = SEC = 0
Skeptical CPA  Oct 23  Comment 
"An internal review by the nation's largest independent securities regulator found that its staff members had missed numerous red flags that would have uncovered frauds run by Bernard L. Madoff and the Texas billionaire R. Allen Stanford. The...
Attorney Calls FINRA Execs "Liars", Says Only Interested In Appearance Of Enforcement
Clusterstock  Oct 20  Comment 
Attorny Richard Greenfield of the firm Greendfield and Goodlman is aiming to bgrab some attention with comments like these: FINRA’s mindset has never been on major league enforcement, but rather relatively picayune broker-dealer violations and...
SIFMA Proposal Falls Short in Protecting Investors, Says Fiduciary Group in Letter to Congress
PR Newswire  Oct 20  Comment 
Wall Street Lobby Seeks to Cut Out Critical Requirements of Disclosure, Managing Conflicts and Controlling Expenses in its Standard for Brokers Giving Investment Advice, Says the Committee for the Fiduciary Standard WASHINGTON, Oct. 20
FINRA Announces Two New Members of Board of Governors
Mondo Visione  Oct 15  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that two new public members have been appointed to its Board of Governors.
Citi faces FINRA fine over derivatives deals: source
Reuters  Oct 12  Comment 
Citigroup Inc is expected to be fined $600,000 by the Financial Industry Regulatory Authority over derivatives transactions that helped foreign clients avoid taxes on dividends, a source familiar with the matter said on Sunday.
Citigroup Said to Accept Finra Fine in Tax-Linked Stock Deals
Bloomberg  Oct 12  Comment 
Finra Fines Citigroup $600,000 Over Monitoring Transactions
Bloomberg  Oct 12  Comment 
FINRA Fines Citigroup (C) $600,000
StreetInsider.com  Oct 12  Comment 
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This article is part of WikiProject Definitions. Consider editing to improve it. View articles referencing this definition.
 

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.

FINRA administers test which some participants in the financial markets (such as stock brokers) are required to pass, such as:

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