Also found in: Financial.
FINRAFinancial Industry Regulatory Authority (formerly National Association of Securities Dealers)
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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 is dedicated to investor protection and market integrity.
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.
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.
Randich brings to FINRA an extensive background of market, technology and operations experience.
Reps and BDs often cower from hitting back against the SEC and FINRA.
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.
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.
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.
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 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.
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.