Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Sep 13  Comment 
FINRA has filed to amend Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes relating to broadening chairperson eligibility in arbitration. Please...
Mondo Visione  Sep 2  Comment 
The following MIAX Regulatory Circulars describe changes to certain FINRA Code of Arbitration Procedures for Customer and Industry Disputes. FINRA is proposing to amend Rule 12403 of its Code of Arbitration Procedure for Customer Disputes...
Mondo Visione  Aug 9  Comment 
While most Americans understand the importance of saving and investing, many do not possess the basic financial knowledge needed to make sound financial decisions, according to a recent study released by the FINRA Investor Education Foundation...
Mondo Visione  Aug 8  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $12.5 million for significant supervisory failures related to research and trading-related information it disseminated to its employees,...
Mondo Visione  Aug 4  Comment 
Boiler room-style calls touting the next hot stock are alive and well, and they’re costing investors dearly, according to an Investor Alert issued today by the Financial Industry Regulatory Authority (FINRA). Numerous...
New York Times  Jul 22  Comment 
In fight for hundreds of millions in deferred compensation, former Credit Suisse brokers can now take their claims to Finra for arbitration.
Mondo Visione  Jul 15  Comment 
The Financial Industry Regulatory Authority (FINRA) Board of Governors today unanimously elected John J. “Jack” Brennan, Vanguard Group Chairman Emeritus and Senior Advisor, as FINRA Chairman effective Aug. 15, 2016. Brennan has served as...
Mondo Visione  Jul 12  Comment 
While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for millions — particularly women, millennials, African-Americans, Hispanics, and those lacking a high school education. These findings come...
Mondo Visione  Jun 29  Comment 
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to provide complete and accurate trade data in an automated format in a timely manner when requested by FINRA and...
Mondo Visione  Jun 23  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $5 million for negligent disclosure failures in connection with the sale of five-year senior debt notes to retail...


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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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