FINRA
Business & Finance abbreviation · Stock Market & Investing
| Stands for | Financial Industry Regulatory Authority |
|---|---|
| Categories | Business & Finance |
FINRA stands for Financial Industry Regulatory Authority, a stock market & investing abbreviation also used in organizations.
Private self-regulatory organization, overseen by the SEC, that writes and enforces rules for US broker-dealers and their registered representatives. It administers licensing exams such as the Series 7, examines firms and can fine or expel violators.
Example: FINRA fined the brokerage $3 million for failing to supervise its reps' options recommendations.
Usage notes
Created in 2007 by merging the National Association of Securities Dealers (NASD) with the regulation arm of the NYSE. Investors can look up the record of brokers and firms through FINRA's free BrokerCheck website. FINRA does not regulate investment advisers, who answer to the SEC or state regulators.
Related abbreviations
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