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Financial Industry Regulatory Authority

   Also found in: Acronyms, Wikipedia 0.04 sec.
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.

Related Terms:
• Broker-Dealer
• National Association of Securities Dealers—NASD
• New York Stock Exchange—NYSE
• Securities and Exchange Commission—SEC
• Series 7



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The Financial Industry Regulatory Authority (FINRA) announced today that registered personnel and other frontline staff now can learn about their compliance obligations when working with senior customers through the latest in FINRA's series of free, instructional webcasts.
FINRA Announces New Webcast to Guide Brokers When Working with Senior ... by Business Wire
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) today announced the initiation of two new major regulatory sweeps intended to ensure that securities firms are using appropriate sales practices in their dealings with seniors and individuals nearing retirement.
FINRA Announces Major Regulatory Sweeps at Senior Summit by Business Wire
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) today announced the launch one of the most comprehensive, content-rich, free online information resources for retail investors - and the only one with a strong emphasis on fixed-income securities.
FINRA Launches 'Market Data' Online Today, Providing Free, ... by Business Wire
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