FINRA


Also found in: Financial.
AcronymDefinition
FINRAFinancial Industry Regulatory Authority (formerly National Association of Securities Dealers)
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References in periodicals archive ?
We are delighted to have him join FINRA's regional committee and look forward to his involvement with this key industry organization in the days ahead."
CRCPTM, CAMSTM elected to serve as FINRA member
According to a FINRA spokesman, prior to creating the portal, "interested prospective committee members reached out individually to a committee member they knew, or perhaps a committee liaison from FINRA.
FINRA Revamps Advisory Committees, Adds 2 New Ones
"The coming year will bring both continuity and change in FINRA's programs," CEO Robert Cook wrote in a note to firms that accompanied the Priorities Letter.
FINRA Issues Roadmap on New Year Priorities
FINRA found that from March 2008 to June 2016, J.P.
FINRA fines J.P. Morgan Securities USD 2.8m
Finra filed a civil case to collect the fine with a state court in New York.
Self-regulatory organizations
Sutherland Asbill & Brennan LLP reports in its annual review of FINRA disciplinary actions that total fines recovered by the agency went up by 125 percent in 2014, to $135 million from the previous year's $60 million.
Total cases down, but fines up from FINRA in 2014
Connecting Individual Investors to FINRA Arbitration Through
Beyond the brokerage fee: the hidden cost of investment through brokerage firms - due process protection
Though both men were employed with JPMorgan Chase Securities LLC at the time of the wrongdoing, the firm was not a party to the FINRA action.
FINRA bars two brokers for theft from an elder
Morgan Stanley has neither admitted nor denied the charges, but consented to the entry of Finra's findings.
-Finra fines Morgan Stanley on transaction prices
FINRA's current GC, Grant Callery, announced that he will retire in October, while the GC for Regulation, Marc Menchel, said he will be leaving on June 1 to go into private practice.
FINRA announces new chief legal officer
FINRA, Washington, talks about the rules that govern member firms' use of social networking websites and personal communications devices in FINRA Regulatory Notice 11-39.
Save those tweets, texts and calls
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