Financial Industry Regulatory Authority (FINRA)

RECENT NEWS
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...
MarketWatch  Jan 7  Comment 
The financial industry’s self-regulatory body is investigating whether trading-fee rebates create conflicts of interests for the execution quality of customers’ orders.
Financial Times  Jan 6  Comment 
Review will look at debt pricing and electronic platforms
Mondo Visione  Jan 6  Comment 
The Financial Industry Regulatory Authority (FINRA) today released its 2015 Regulatory and Examination Priorities letter highlighting significant risks and issues that, if not properly addressed, could adversely affect investors and market...
Mondo Visione  Dec 30  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Monex Securities Inc. to pay $1,100,000 in disgorgement of commissions, plus interest, obtained by unregistered foreign individuals who sold securities on the...
Mondo Visione  Dec 29  Comment 
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Pershing LLC $3 million for violating the Customer Protection Rule and for related supervisory failures. The Securities and Exchange Commission...
Mondo Visione  Dec 23  Comment 
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud warning investors of aggressive promotions touting stocks that claim to...




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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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