By October 1, 2015 October 15th, 2017 Glossary

FINRA is the Financial Industry Regulatory Authority, a self-regulatory organization charged with regulating the securities industry.  It is the successor to the National Association of Securities Dealers, Inc. (NASD).  All firms dealing in securities that are not regulated by another self-regulatory organization are required to be member firms of FINRA. FINRA disciplines its members for failure to follow federal regulatory guidelines as well as FINRA’s own code of conduct. FINRA also administers arbitrations between investors and their financial advisors.

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