Financial Industry Regulatory Authority ( FINRA )


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About Financial Industry Regulatory Authority

In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange. It is a self regulatory organization, a non-governmental organization that performs financial regulation of member brokerage firms and exchange markets.

FINRA press release, blog etc

08/08/2018 - 22:59 FINRA Publishes First Annual Industry Snapshot
07/30/2018 - 06:54 FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
07/26/2018 - 01:25 FINRA Announces Enforcement Structure, Senior Leadership Team
07/25/2018 - 01:20 Report from FINRA Board of Governors Meeting July 2018
07/12/2018 - 06:26 FINRA Handles Record Volume of Market Activity through First Six Months of 2018
07/04/2018 - 20:26 FINRA Launches Enhanced Public Records Review
06/28/2018 - 15:54 Firms Elect Securities America Financial Corporations Jim Nagengast to FINRA Board of Governors
06/17/2018 - 19:14 FINRA Hearing Panel Bars Broker for Violating Terms of His Suspension; Firm Expelled from FINRA Membership for Allowing Broker to Work While Suspended
06/14/2018 - 09:09 FINRA Announces Initiative to Transform CRD, Other Registration Systems
06/07/2018 - 10:57 FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
05/18/2018 - 10:59 FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
05/17/2018 - 09:14 Report from FINRA Board of Governors Meeting May 2018
05/16/2018 - 06:56 FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations
05/08/2018 - 05:58 FINRA Sanctions Fifth Third Securities, Inc., $6 Million for Cost and Fee Disclosure Failures and Unsuitable Recommendations Related to Variable Annuity Exchanges
04/24/2018 - 09:33 FINRA Progress Report on FINRA360 Highlights Significant Changes
04/16/2018 - 15:22 FINRA Names Timothy C. Scheve to Board of Governors
04/12/2018 - 10:47 FINRA, BOX, Cboe, IEX, NASDAQ and NYSE Fine Instinet, LLC for Market Access Rule Violations
04/11/2018 - 09:50 Bari Havlik Joins FINRA as Executive Vice President, Member Supervision