Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Feb 15  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled Plano, TX-based broker-dealer Red River Securities, LLC, barred its CEO Brian Keith Hardwick, and ordered the firm and Hardwick to jointly...
Mondo Visione  Feb 9  Comment 
Good morning. It’s great to have this opportunity to be with you today to talk about anti-money laundering (AML), an area of significant regulatory focus both for the industry and regulators alike. AML isn’t just a regulatory issue; it is...
Mondo Visione  Feb 9  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors has approved the promotion of Marcia E. Asquith to Executive Vice President, Board and External Relations. Jennifer Piorko Mitchell was promoted to...
Mondo Visione  Feb 8  Comment 
The Financial Industry Regulatory Authority (FINRA) today released a  status report  on the recommendations made in the FINRA Dispute Resolution Task Force’s  Final Report  issued in December 2015. In July 2014, FINRA had formed...
Mondo Visione  Jan 30  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has named Josh Drobnyk as its Senior Vice President for Corporate Communications. Mr. Drobnyk will start at FINRA on February 6. Mr. Drobnyk comes to FINRA from the...
Mondo Visione  Jan 19  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has named Gregory J. Dean, Jr. as its Senior Vice President for the Office of Government Affairs. Mr. Dean will start at FINRA on January 30. Mr. Dean comes to FINRA...
Mondo Visione  Jan 18  Comment 
Distributed ledger technology (DLT), better known as blockchain, has garnered significant interest in the securities industry, with many market participants indicating a desire for increased regulatory engagement as they explore the technology and...
Mondo Visione  Jan 10  Comment 
Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon. I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and...
Mondo Visione  Dec 21  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined 12 firms a total of $14.4 million for significant deficiencies relating to the preservation of broker-dealer and customer records in a format that prevents...
Mondo Visione  Dec 15  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that J. Bradley (Brad) Bennett will leave FINRA early next year. Bennett has served as FINRA’s Chief of Enforcement for nearly six years, overseeing 300 enforcement staff in 14...


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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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