FINRA

(noun)

In the United States, the Financial Industry Regulatory Authority, Inc., or FINRA, is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD). Though sometimes mistaken for a government agency, it is a non-governmental organization that performs financial regulation of member brokerage firms and exchange markets. The government organization which acts as the ultimate regulator of the securities industry, including FINRA, is the Securities and Exchange Commission.

Related Terms

  • underwriter

Examples of FINRA in the following topics:

  • NASDAQ

    • It is owned and operated by the NASDAQ OMX Group and regulated by the Financial Industry Regulatory Authority (FINRA), the successor to the NASD.
  • Types of Stock Market Transactions

    • Financial Industry Regulatory Authority (FINRA), is a registered offering of a large block of a security that has been previously issued to the public.
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