Financial Industry Regulatory Authority financial definition of Financial Industry Regulatory Authority. Financial Industry Regulatory Authority finance term by the Free Online Dictionary.

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.

Financial Industry Regulatory Authority (FINRA)

What Does Financial Industry Regulatory Authority (FINRA) Mean?

A regulatory body created after the merger of the National Association of Securities Dealers and the New York Stock Exchange's regulation committee. The Financial Industry Regulatory Authority is responsible for governing business between brokers, dealers, and the investing public. By consolidating these two regulators, FINRA aims to eliminate regulatory overlap and cost inefficiencies.

Investopedia explains Financial Industry Regulatory Authority (FINRA)

Originally, FINRA was known as SIRA, the Securities Industry Regulatory Authority. However, complaints were made about the name, noting that it sounded very similar to the Arabic term “Sirah,” the traditional term for biographical texts about Muhammad.

Mentioned in	?		References in periodicals archive	?		Financial browser	?		Full browser	?
Affirmative Obligation Affirmative Obligations Breakpoint Breakpoint Sale FINRA Free-Riding Freeriding NASD Nasdaq National Association of Securities Dealers Positive Obligation Right of Accumulation Rights of Accumulation ROA Series 30 Series 31 Series 4 Series 63 Series 7	According to the Financial Industry Regulatory Authority award dispute resolution signed on May 14, the $180 million CASE CU alleged that its investment committee met with Mark Wickard, an agent for Prudential Equity, to discuss the Lansing, Mich. CASE CU entitled to $1 million in CMO investment breach claim by Samaad, Michelle A. / Credit Union Times THE FINANCIAL INDUSTRY Regulatory Authority (FIN RA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers permanently available to the public, regardless of whether they continue to be employed in the securities industry. The Financial Industry by Investment Advisor The Financial Industry Regulatory Authority announced in late April that it's proposing a major expansion of its BrokerCheck service to make advisor records permanently available to the public, regardless of whether they continue to be employed in the securities industry. Surprise--background check expansion underway by Boomer Market Advisor	Financial Aid Financial Analysis Financial Analyst Financial Analysts Financial and Operational Combined Uniform Single Report Financial Asset Financial Assets Financial Center Financial Close Financial Community of Africa Financial Condition Financial Contagion Financial Control Financial Crimes Enforcement Network Financial Distress Financial Distress Cost Financial Distress Costs Financial Engineering Financial Future Financial Futures Financial Guarantee Insurance Financial Guaranty Insurance Corporation Financial Highlights Financial Holding Company Financial Incentive Financial Industry Regulatory Authority Financial Innovation financial institution Financial institution buyer credit policy Financial Institutions Reform, Recovery and Enforcement Act Financial Institutions Reform, Recovery and Enforcement Act of 1989 Financial Institutions Reform, Recovery, and Enforcement Act of 1989 Financial Instrument Financial Intermediaries Financial Intermediary Financial Lease Financial Leverage Financial Leverage Clientele Financial Leverage Ratios financial management rate of return Financial Market Financial meltdown Financial model Financial needs approach Financial Objectives Financial Obligation Ratio Financial Performance Financial Plan Financial Planner Financial Planning Financial policy	Financial Health Check Financial Health Credit Union Financial Health Hazard Financial Health Research Institute Financial Help Centers Inc. Financial Highlight financial highlights financial highlights financial highlights financial highlights Financial Holding Companies Financial holding company Financial holding company Financial holding company Financial Holding Company Act Financial Human Resource Association Financial Impact Estimating Conference Financial Implementation Team for Electronic Commerce Financial Improvement and Audit Readiness Financial Incentive Financial Incentive Rewards for Supervisors and Teachers Financial Incentives Financial Independence Company Insurance Services Financial Independence Group Financial Independence Through Entrepreneurship Financial Independent Network Limited Financial Industrial Group Financial Industry Computer Systems, Inc. Financial Industry Mail Security Initiative Financial Industry Regulatory Authority Financial Industry Regulatory Authority. Financial Information Financial Information and Analysis Unit Financial Information Central Unit Financial Information Engine on Land Degradation Financial Information eXchange Financial Information eXchange Financial Information Exchange Agreement Financial Information Exchange Markup Language Financial Information Exchange protocol Financial Information for Resources Management Financial Information Link Library Financial Information Management Incorporated Financial Information Management System Financial Information Network and Operations Ltd. Financial Information Pointer Financial Information Processing Financial Information Processing Center Financial Information Progress System Financial Information Questionnaire Financial Information Register Satellite Terminal Users Package Financial Information Resource Management System Financial Information Resource System Financial Information Resources System Financial Information Service

Mentioned in

References in periodicals archive

Financial browser

Full browser

Affirmative Obligation
Affirmative Obligations
Breakpoint
Breakpoint Sale
FINRA
Free-Riding
Freeriding
NASD
Nasdaq
National Association of Securities Dealers
Positive Obligation
Right of Accumulation
Rights of Accumulation
ROA
Series 30
Series 31
Series 4
Series 63
Series 7

According to the Financial Industry Regulatory Authority award dispute resolution signed on May 14, the $180 million CASE CU alleged that its investment committee met with Mark Wickard, an agent for Prudential Equity, to discuss the Lansing, Mich.

CASE CU entitled to $1 million in CMO investment breach claim by Samaad, Michelle A. / Credit Union Times

THE FINANCIAL INDUSTRY Regulatory Authority (FIN RA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers permanently available to the public, regardless of whether they continue to be employed in the securities industry.

The Financial Industry by Investment Advisor

The Financial Industry Regulatory Authority announced in late April that it's proposing a major expansion of its BrokerCheck service to make advisor records permanently available to the public, regardless of whether they continue to be employed in the securities industry.

Surprise--background check expansion underway by Boomer Market Advisor

Financial and Operational Combined Uniform Single Report

Financial Community of Africa

Financial Condition