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 ?
It's no secret that investment advisors are opposed to the Financial Industry Regulatory Authority becoming the self-regulatory organization that steps in to examine them--and, at least for the near term, it looks as though their wish has been granted.
A ruling has arrived in their long-running dispute, which hit arbitration with the Financial Industry Regulatory Authority in August 2010.
A panel of the Financial Industry Regulatory Authority (FINRA) has said that there is no merit in a case filed by Oppenheimer & Co alleging Citigroup Global Markets, Inc (NYSE: C) of raiding its firm to hire nine brokers.
Compton Petroleum Corporation (Compton) (TSX : CMT) ( NYSE : CMZ), a public company engaged in the exploration, development and production of natural gas, natural gas liquids, and crude oil in western Canada, has announced that its underwriters have received confirmation that the United States Financial Industry Regulatory Authority, Incorporated will issue a 'no-objection' letter.
The FBI refused to comment, but six investigators from the US Financial Industry Regulatory Authority entered the bank's offices last month.
Templum Markets, LLC is registered with the US Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
Abtech Holdings announced that the 200-for-1 reverse stock split to the company's issued and outstanding common stock par value $0.001 per share and the 16-for-1 reverse stock split to the company's authorized Common Stock, which was approved by the company's stockholders at the Annual Meeting of Stockholders on August 15, 2018, will become effective with the Financial Industry Regulatory Authority and in the market place on Tuesday, November 6, 2018, whereupon the shares of Common Stock will begin trading on a split-adjusted basis.
"Agency officials have been and will remain in close communication with market participants and key market infrastructure providers, as well as the Financial Industry Regulatory Authority and other regulators concerning the storm and its aftermath.
FSI's move comes as the Financial Industry Regulatory Authority is reviewing its OBA rule (Rule 3270) and is seeking input on the matter through June 29.
The acquisition hinges on regulatory clearances, including green light by the Financial Industry Regulatory Authority (FINRA), as well as on approval by the target's shareholders.
WFP SECURITIES, a San Diego-based broker-dealer, has informed the Financial Industry Regulatory Authority that it is closing.
A three-member Financial Industry Regulatory Authority panel decided in the family's favor last month.

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