Financial Industry Regulatory Authority


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Related to Financial Industry Regulatory Authority: Securities and Exchange Commission

Financial Industry Regulatory Authority

A self-regulatory organization that assists the SEC in regulating financial markets, notably exchanges and companies that deal with securities. Among other duties, FINRA enforces rules, arbitrates disputes, and provides training and licensing services. Contrary to the belief of some, it is not a government agency. It was created in 2007 with the merger of the National Association of Securities Dealers and the NYSE regulatory board.
References in periodicals archive ?
He holds a CFP designation and Series 7 and 63 licenses with the Financial Industry Regulatory Authority (FINRA).
FINRA, the Financial Industry Regulatory Authority, is an independent regulatory organization empowered by the federal government to ensure that America's 90 million investors are protected.
Financial Publishers Association, Financial Industry Regulatory Authority, Investment Company Institute Education Foundation, Investor Protection Trust, Council for Economic Education, Options Industry Council, National Endowment for Financial Education, National Futures Association, Retirement Security Project, and the Securities Investor Protection Corporation.
Randy Koontz, a former financial adviser with Morgan Stanley who now works at a Raymond James office in Rogers, was ordered by the Financial Industry Regulatory Authority to pay back a $94,000 promissory note, plus interest.
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) today announced that Carol Anthony (John) Davidson, retired Senior Vice President, Controller and Chief Accounting Officer of Tyco International, will join FINRA's Board of Governors.
The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved a series of proposed rule changes regarding high-speed and algorithmic trading.
He left for Credit Suisse in 2009 after Wachovia was bought by Wells Fargo & Co (NYSE: AFC) in 2008, the report said, citing Financial Industry Regulatory Authority records.
Financial Publishers Association, Financial Industry Regulatory Authority, Investment Company Institute Education Foundation, Investor Protection Trust, Council for Economic Education, National Endowment for Financial Education, National Futures Association, Options Industry Council, Retirement Security Project, Securities Industry and Financial Markets Association/SIFMA Foundation for Investor Education and the Securities Investor Protection Corporation.
of Bentonville has received approval from the Financial Industry Regulatory Authority to start trading on the Over the Counter Bulletin Board.
WASHINGTON -- The SEC's Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) have issued a new Investor Alert called Year-End Investment Considerations for Individual Investors.
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Viral Disease Stock Scams: Don't Let Them Infect Your Portfolio warning investors of promotions touting stocks in companies that claim to provide products that protect against the spread of viruses or other harmful diseases.
The Financial Industry Regulatory Authority said that the restitution was in addition to USD64.

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