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 ?
5m to resolve claims by the Financial Industry Regulatory Authority that they offered favourable research to clients in return for favours.
JHS is part of the Financial Industry Regulatory Authority (FINRA), whose approval is needed for the closing of the transaction.
The Financial Industry Regulatory Authority (FINRA) says it settled charges recently with two additional firms relating to the sale of auction rate securities (ARS) that became illiquid when auctions froze in February 2008.
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) announced today that it has filed for a Temporary Cease-and-Desist Order (TCDO) against Herkimer, NY-based Westor Capital Group, Inc.
The Financial Industry Regulatory Authority (FINRA) today issued a regulatory notice providing guidance on member firms' responsibilities concerning the sale of pension income stream products, which typically are contracts that provide a lump-sum payment to a pensioner in exchange for the rights to future pension income payments.
Morgan Stanley (NYSE: MS) has hired top financial adviser Peter Risch from JP Morgan Securities in Columbus, Ohio, Reuters has reported citing records at the Financial Industry Regulatory Authority.
12 May 2014 -- Washington DC-based securities firms regulator The Financial Industry Regulatory Authority (FINRA) said that the US Securities and Exchange Commission has recently approved of a FINRA rule change to limit self-trading.
So far it has also been cleared by all major regulators in the countries where Sberbank and Troika Dialog are represented, including US Financial Industry Regulatory Authority (FINRA) and Russiaa[euro](tm)s Federal Antimonopoly Servicea[euro](tm)s (FAS), Prime cited Sberbanka[euro](tm)s deputy chief Andrei Donskikh as saying earlier this month.
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.
The Financial Industry Regulatory Authority (FINRA) recently fined NEXT Financial Group, Inc.
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) and Bats Exchange have jointly ordered Citigroup Global Markets (NYSE: C) to pay nearly USD1.

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