Financial Industry Regulatory Authority ( FINRA )

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

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
03/29/2018 - 10:26 FINRA Helps Consumers Assess Risks of Using Data Aggregators to Organize Personal Finances
03/28/2018 - 09:46 Across Generations, Women Trail Men in Financial Knowledge but the Gap May Be Closing
03/28/2018 - 08:39 FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations
03/14/2018 - 07:57 Report from FINRA Board of Governors Meeting March 2018
03/01/2018 - 07:04 FINRA Foundation Seeks Applicants for Military Spouse Fellowship
02/16/2018 - 11:25 FINRA Warns Investors of 'Regulator' Imposter Scams
02/13/2018 - 09:58 FINRA Foundation Announces New Appointments to Board of Directors
02/08/2018 - 08:36 FINRA Releases Paper Providing Perspectives on Customer Recovery
02/05/2018 - 11:22 FINRA Fines Wedbush Securities Inc. $1.5 Million for Customer Protection, Net Capital Rule Violations and Related Failures
02/05/2018 - 06:16 New FINRA Rules Take Effect to Protect Seniors and Vulnerable Adults from Financial Exploitation