FINRA


Also found in: Financial.
AcronymDefinition
FINRAFinancial Industry Regulatory Authority (formerly National Association of Securities Dealers)
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."
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.
"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 found that from March 2008 to June 2016, J.P.
Finra filed a civil case to collect the fine with a state court in New York.
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.
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.
Morgan Stanley has neither admitted nor denied the charges, but consented to the entry of Finra's findings.
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, Washington, talks about the rules that govern member firms' use of social networking websites and personal communications devices in FINRA Regulatory Notice 11-39.