Fact checked by Vikki Velasquez When starting out as a financial advisor, compliance can feel like a maze of regulations. However, mastering it can help avoid significant financial risk. Compliance ...

Working with a financial advisor involves a lot of trust. You’re sharing information about one of the most personal aspects ...

FINRA is a private, self-regulatory body that’s made of brokerage firms and exchange markets that set financial industry rules and regulations. Learn more about who they are and what they do ...

The Heritage Foundation hosted a discussion with Robert Cook, president and chief executive officer pf the Financial Industry Regulatory Authority (FINRA). FINRA is the largest independent ...

Financial Industry Regulation Authority. A regulatory body that resulted from merging the NASD and the NYSE regulatory committees. From the 2011 FINRA website, "The Financial Industry Regulatory ...

News about Financial Industry Regulatory Authority. Commentary and archival information about Financial Industry Regulatory Authority from The New York Times.

The Financial Industry Regulatory Authority, also known as FINRA, helps protect investors by regulating brokers in the United States. It does this through rulemaking, enforcement, investigations ...

The Financial Industry Regulatory Authority, Inc. (FINRA) is an independent regulatory body, overseeing securities firms and their brokers and other registered personnel. Arbitration of employment ...

Robert Cook, who led the SEC’s trading and markets division from 2010 to 2013, will become chief executive of the Financial Industry Regulatory Authority in August. Mr.

The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission to adopt FINRA Rule 2081 that woul ...

News about Financial Industry Regulatory Authority. Commentary and archival information about Financial Industry Regulatory Authority from The New York Times.