Financial Industry Regulatory Authority ( FINRA )


Financial Industry Regulatory Authority's picture

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

03/14/2018 - 06:57 Report from FINRA Board of Governors Meeting March 2018
03/01/2018 - 06:04 FINRA Foundation Seeks Applicants for Military Spouse Fellowship
02/16/2018 - 10:25 FINRA Warns Investors of 'Regulator' Imposter Scams
02/13/2018 - 08:58 FINRA Foundation Announces New Appointments to Board of Directors
02/08/2018 - 07:36 FINRA Releases Paper Providing Perspectives on Customer Recovery
02/05/2018 - 10:22 FINRA Fines Wedbush Securities Inc. $1.5 Million for Customer Protection, Net Capital Rule Violations and Related Failures
02/05/2018 - 05:16 New FINRA Rules Take Effect to Protect Seniors and Vulnerable Adults from Financial Exploitation
02/01/2018 - 09:45 FINRA Announces Comprehensive Changes to Advisory Committees, Including Creation of Two New Committees
01/22/2018 - 13:55 FINRA Launches Small Firm Helpline to Provide Enhanced Support
01/18/2018 - 13:22 FINRA Publishes Budget Summary and Financial Principles for First Time
01/08/2018 - 15:03 FINRA Releases 2018 Regulatory and Exam Priorities
12/28/2017 - 11:04 FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings
12/27/2017 - 07:27 FINRA Fines J.P. Morgan Securities LLC $2.8 Million for Customer Protection Rule Violations and Supervisory Failures
12/21/2017 - 10:21 FINRA Warns Investors: Dont Fall for Cryptocurrency-Related Stock Scams
12/21/2017 - 05:27 FINRA Fines Raymond James Financial Services, Inc. $2 Million for Failing to Reasonably Supervise Email Communications
12/20/2017 - 09:16 Report from FINRA Board of Governors Meeting December 2017
12/19/2017 - 06:03 FINRA Fines Merrill Lynch $1.4 Million for Supervisory Deficiencies Related to Extended Settlement Transactions
12/12/2017 - 14:41 FINRA and Georgetown Universitys McDonough School of Business Announce Partnership to Deliver Certified Regulatory and Compliance Professional Program