Wednesday, December 29, 2010


FINRA, or the Financial Industry Regulatory Authority, is a self-regulatory organization (meaning an industry organised regulatory regime, rather than a government organised regime). FINRA supervises market regulation of securities firms doing business in the US. FINRA came about through the consolidation of the NASD with the member regulation, enforcement and arbitration divisions of the NYSE. FINRA is the successor to the National Association of Securities Dealers, Inc.

Synonyms: Financial Industry Regulatory Authority, NASD

If you have any further questions or would like to add to the entry above, then please submit your thoughts below.

No comments:

Post a Comment