The outcome is correct, but it’s disappointing that FINRA had ample opportunity to investigate the merits of clients’ allegations in these claims, including the testimony in the three investor ...

The latest snapshot report reveals large firms overwhelmingly account for branches and registrants as trend of net exits from ...

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 ...

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

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 ...

Regulatory authorities continue to advance initiatives to improve the efficiency and sophistication of global securities ...

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, Inc. is proposing to amend FINRA Rule 7410 to permit members which, under FINRA Rule 7410, are not considered to be “rep ...

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.