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

12/12/2017 - 14:41 FINRA and Georgetown Universitys McDonough School of Business Announce Partnership to Deliver Certified Regulatory and Compliance Professional Program
12/06/2017 - 15:29 FINRA Requests Comment on Proposed Changes to Expungement of Customer Dispute Information
11/21/2017 - 11:36 FINRA Introduces New Functionality and Design to Fund Analyzer
11/21/2017 - 11:33 FINRA Fines J.P. Morgan Securities, LLC $1.25 Million for Failing to Appropriately Fingerprint or Screen Its Employees
11/15/2017 - 07:22 FINRA Announces Enhancements to Advisory Committees to Increase Transparency, Improve Effectiveness
11/09/2017 - 07:49 FINRA Hearing Panel Bars Broker for Defrauding Elderly, Blind Customer
11/02/2017 - 09:20 FINRA Foundation and Filene Research Institute Provide Free Resources to Help Credit Unions and Employers Launch Small-Dollar Loan Program to Support Employee Financial Wellness
10/26/2017 - 09:21 FINRA EVP of Regulatory Operations Susan Axelrod Announces Departure
10/18/2017 - 15:39 FINRA Requests Comment on Arbitration Proposals
10/16/2017 - 05:03 FINRA Orders Wells Fargo Broker-Dealers to Pay $3.4 Million in Restitution and Reminds Firms of Sales Practice Obligations for Volatility-Linked Products
10/05/2017 - 09:25 FINRA Receives SEC Approval to Streamline Competency Exams
10/02/2017 - 13:06 FINRA Promotes World Investor Week 2017
09/25/2017 - 03:22 FINRA Sanctions Morgan Stanley $13 Million in Fines and Restitution for Failing to Supervise Sales of UITs
09/19/2017 - 03:21 FINRA Dispute Resolution to Hold Arbitrator and Mediator Recruitment Event at Congressional Black Caucus Conference September 21 23
09/15/2017 - 10:16 First-Ever National Study Finds Veterans Faring Slightly Better Financially Than Civilians
09/13/2017 - 06:49 FINRA Foundation Awards Inaugural Ketchum Prize to Dr. J. Michael Collins
09/12/2017 - 06:35 FINRA Hearing Panel Fines C.L. King & Associates $750,000 for Negligent Misrepresentations and Omissions in Connection with Death Put Investments and AML-Related Violations
09/06/2017 - 21:12 FINRA CEO Robert Cook Testifies Before House Financial Services Subcommittee on Capital Markets, Securities, and Investment