Financial Industry Regulatory Authority (FINRA)

Mondo Visione  Oct 1  Comment 
Due to a configuration error, some of the individuals who took the Series 24 supervisory examination in recent weeks incorrectly received a failing grade. The Financial Industry Regulatory Authority (FINRA) is notifying all of the affected firms...
Mondo Visione  Sep 18  Comment 
The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved a rulemaking item to help firms better protect seniors and other vulnerable adults from financial exploitation. The proposal would allow a firm to...
Mondo Visione  Sep 15  Comment 
The Financial Industry Regulatory Authority (FINRA) announced that it has released Guidance on Liquidity Risk Management Practices, the results of a year-long review of firms’ contingency plans and processes related to managing liquidity needs...
Mondo Visione  Sep 15  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that as a result of a 2014 onsite exam, it found securities violations including various misleading sales pitches, customer account churning and other business misconduct at...
Mondo Visione  Sep 2  Comment 
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams. FINRA's new Alert warns investors to be wary of stock promotions sent through...
MarketWatch  Aug 24  Comment 
Regulator finds company had cash inflows that exceeded amounts it could invest with existing facilities.
Yahoo  Aug 19  Comment 
Wall Street's self-regulatory body has been probing Bank of America Merrill Lynch over its failure to detect the activities of a former financial adviser, who pleaded guilty to helping a client cover up an insider-trading scheme and launder the...
Mondo Visione  Aug 12  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StockCross Financial Services, Inc. $800,000 for Regulation SHO violations and for related supervisory violations that spanned more than three years. As part of...
Mondo Visione  Aug 6  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for churning customers’...
Mondo Visione  Aug 3  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $950,000 for improperly selling unregistered penny stocks and for related supervisory failures, and for failing to implement anti-money...


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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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