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Zimmerman's Research Guide


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Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA) is the self-regulatory agency of the U.S. securities industry. FINRA was formed in July 2007 through a consolidation of the regulatory, enforcement and arbitration functions of the New York Stock Exchange (NYSE) and the National Association of Securities Dealers (NASD). FINRA oversees brokerage firms and registered securities representatives, such as brokers and investment advisors.

The FINRA Web site includes FINRA's rules & regulations, enforcement materials and arbitration materials, as well as key materials published by the NASD and and NYSE.

Arbitration Awards: See the separate entry for "Arbitration, Mediation and Alternative Dispute Resolution."

Disciplinary Actions: FINRA posts NASD disciplinary actions on its Monthly Disciplinary Actions page. They are also available on Lexis (FEDSEC;DISCIP) and Westlaw Westlaw (FINRA-DEC). See also "Professional Licensing."

Notices to Members: Notices are posted in the FINRA Manual Online (formerly the NASD Manual) and on Lexis (FEDSEC;NOTICE).

Rules: FINRA posts its current rules. For historic editions, CCH publishes a subscription-based Rules Archive with FINRA and NASD rules back to 2000.

Other Materials: Westlaw's FINRA database includes memorada, interpretations, the FINRA Listed Company Manual and "organizational materials."


See Also
Arbitration, Mediation and Alternative Dispute Resolution
Arbitrators
Brokerage Firms
Brokers
Investment Advisers
National Association of Securities Dealers
Securities and Exchange Commission
Securities Dealers

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Copyright 2014 Andrew Zimmerman