Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
Mondo Visione  Nov 18  Comment 
The Financial Industry Regulatory Authority (FINRA) has named two new Public Governors—Joshua S. Levine and Robert W. Scully—to its Board of Governors. Mr. Levine is a recognized leader in financial services technology. Earlier in his...
Mondo Visione  Nov 17  Comment 
The Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) today released companion proposals that would require disclosure of pricing reference information on customer confirmations for transactions...
Clusterstock  Nov 14  Comment 
By Suzanne Barlyn (Reuters) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of investors' lawyers, a federal appeals court ruled on Friday. The...
TheStreet.com  Nov 3  Comment 
When Michael Siegel, CEO of EcoloCap Solutions Inc. , signed an agreement last year to sell convertible notes to Asher Enterprises Inc., he knew the money could dilute his shareholders, but he had no idea that months later the agreement would...
Mondo Visione  Oct 30  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that Richard W. Berry will become Executive Vice President and Director of Dispute Resolution, starting December 1. Berry will report directly to Richard Ketchum, FINRA's Chairman...
MarketWatch  Oct 30  Comment 
The Financial Industry Regulatory Authory and the Securities Exchange Commission sent out a warning to investors that penny stocks promoted as investment opportunities may in fact be stocks of dormant companies. Known as pump-and-dump schemes,...
Mondo Visione  Oct 27  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Merrill Lynch Professional Clearing Corp. (Merrill Lynch PRO) $3.5 million for violating Regulation SHO, an SEC rule that established a regulatory...
Forbes  Oct 23  Comment 
Consider for a moment how most regulation works today, be it the Internal Revenue Service, Health and Human Services or even the Food and Drug Administration.
Mondo Visione  Oct 9  Comment 
Executive Summary FINRA reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements or any other documents, including...




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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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