Proper noun
FINRA
Acronym of Financial Industry Regulatory Authority.
In addition, the brokerage industry is supposedly self policed by Self Regulatory Organizations (SROs), such as the Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers (or NASD) or the MSRB. Source: Internet
Brokers, or registered representatives, are regulated by the Financial Industry Regulatory Agency (FINRA) and are generally not considered investment advisors by federal regulators. Source: Internet
FINRA has a toll-free number for senior investors who have concerns about their brokers and investments, as well as questions about potential scams. Source: Internet
The firm also represents clients in related federal and state grand jury investigations and criminal proceedings, as well as in matters before CFTC and FINRA and other self-regulatory organizations. Source: Internet
Joanna developed her passion for compliance while at Financial Industry Regulatory Authority (FINRA), the regulator of the securities industry, where her team delivered as many as 350 compliance educational programs per year. Source: Internet
Represent public company in FINRA trading review relating to company's announcement of entry into a definitive merger agreement. Source: Internet