FINRA


Also found in: Financial.
AcronymDefinition
FINRAFinancial Industry Regulatory Authority (formerly National Association of Securities Dealers)
References in periodicals archive ?
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
FINRA is dedicated to investor protection and market integrity.
FINRA fines J.P. Morgan Securities USD 2.8m
The changesthe first phase of a series of FINRA Board of Governors transparency initiativesare part of the FINRA360 organizational improvement initiative and address feedback FINRA received in response to a Special Notice on its engagement programs issued in March.
United States : FINRA Announces Enhancements to Advisory Committees to Increase Transparency, Improve Effectiveness
As Cook told the lawmakers, the self-regulator is exploring ways to give investors and research firms access to "bulk data" on broker-dealers that employ brokers with a history of FINRA violations.
FINRA Zeros In on Bad Brokers, Arb Transparency and New Enforcement
Randich brings to FINRA an extensive background of market, technology and operations experience.
Steven J. Randich Named FINRA's Chief Information Officer
Reps and BDs often cower from hitting back against the SEC and FINRA.
When SEC and FINRA Strike, Sometimes It Pays to Strike Back
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
For broker-dealers, taking these steps in addition to keeping current with compliance issues and having documents readily available can make news of a FINRA visit far easier to handle.
How to prepare for and survive a FINRA visit
It has never been more critical for investors to research the backgrounds of the people who approach them with investment proposals," said Richard Ketchum, FINRA chairman and CEO.
This will go on your permanent record
FINRA is to be applauded for an unprecedented level of transparency into its budgeting process and financial challenges," Brad Bennett, former FINRA enforcement chief who's now a partner at Baker Botts in Washington, told ThinkAdvisor.
FINRA's Budget, Released for First Time, Shows Revenue Problems
FINRA found that Hallmark, Dash and Zipkin used an outside brokerage firm, manipulative trading, and misleading trade confirmations to sell nearly 40,000 shares of stock that the firm owned to 14 customers at fraudulently inflated prices.
United States : FINRA Expels Hallmark Investments, Inc. and Bars CEO for Fraud
The rule requires that FINRA member firms report secondary-market transactions in Treasury securities except savings bonds to TRACE, FINRA's Trade Reporting and Compliance Engine.
FINRA launches reporting of treasury transactions
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