Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
Mondo Visione  Feb 13  Comment 
FINRA mourns the loss of former FINRA Governor Harvey J. Goldschmid. Goldschmid was a stalwart defender of the investing public and contributed immeasurably to FINRA’s mission of protecting investors and ensuring market integrity. Goldschmid was...
Mondo Visione  Feb 12  Comment 
The Board of Governors of the Financial Industry Regulatory Authority (FINRA) approved a $50,000,000 contribution to the FINRA Investor Education Foundation to provide continuing support for the Foundation’s innovative research and education...
Mondo Visione  Feb 11  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that Erozan Kurtas will join the organization as Head of Advanced Data Analytics and Senior Vice President. Mr. Kurtas, who will report to Chairman and CEO Richard Ketchum and...
Mondo Visione  Feb 6  Comment 
Executive Summary FINRA is soliciting comment on a proposal to require alternative trading systems (ATSs) to submit quotation information relating to corporate and agency debt securities to FINRA solely for regulatory purposes. The proposed...
Mondo Visione  Feb 3  Comment 
The Financial Industry Regulatory Authority (FINRA) issued a new report on cybersecurity, which details practices that firms can tailor to their business model as they strengthen their cybersecurity efforts. The Report on Cybersecurity...
Mondo Visione  Jan 29  Comment 
Effective 01/21/15, Bondcube has become a FINRA broker/dealer member.  This comes on the heels of the approval of Bondcube Limited as a crossing network in October 2014 by the UK regulator FCA and in December 2014 by the thirty-one other EU...
New York Times  Jan 26  Comment 
The self-regulator is facing criticism over a proposal to require brokers to share information about clients’ accounts.
Mondo Visione  Jan 20  Comment 
SIFMA, in a comment letter filed today with the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board on their Matched Trade Proposals, expresses that it shares the goal of regulators to enhance bond market price...
Mondo Visione  Jan 14  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled John Carris Investments, LLC (JCI) and barred CEO George Carris from the securities industry for fraud and suitability violations. The...
Mondo Visione  Jan 9  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that a hearing panel has expelled John Thomas Financial (JTF), of New York, NY, and barred its Chief Executive Officer, Anastasios "Tommy" Belesis, from the securities industry...




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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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