Financial Industry Regulatory Authority

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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.
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References in periodicals archive ?
The name change and an accompanying ticker symbol remain subject to the approval of the Financial Industry Regulatory Authority. Until that date, the Company's stock will continue to trade under the existing "MDVX" ticker symbol.
Securities and Exchange Commission and the Financial Industry Regulatory Authority.
Bass is a member of the Sports Lawyers Association, the Financial Planning Association of San Francisco, and is registered with the Financial Industry Regulatory Authority.
Biopharmaceutical company AntriaBio (OTCQB:ANTB) said on Thursday that its one for six reverse stock split has been approved by the Financial Industry Regulatory Authority.
According to Oriental, the acquisition has received approvals from the Federal Reserve Bank of New York, the Federal Deposit Insurance Corp., the Office of the Commissioner of Financial Institutions of Puerto Rico and the Financial Industry Regulatory Authority.
The company is changing the stock symbol with the approval from the Financial Industry Regulatory Authority.
Department of the Treasury and the remainder will be concurrent with penalties for similar or related conduct imposed by the Securities and Exchange Commission and the Financial Industry Regulatory Authority. As described in the assessment, UBSFS failed to develop and implement an appropriate, risk-based anti-money laundering program that adequately addressed the risks associated with accounts that included both traditional brokerage and banking-like services.
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.
Previously, Dembin has worked at Wells Fargo and predecessor firm Wachovia Securities for nearly five years, Dow Jones said, citing records by the Financial Industry Regulatory Authority. Schiavetti has worked at the two firms for nearly four years, it added.

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