Financial Industry Regulatory Authority (FINRA)
Definition
Self-regulatory organization overseen by the Securities and Exchange Commission that establishes and enforces rules governing broker-dealer firms in the United States securities markets. FINRA was formed by the 2007 combination of the National Association of Securities Dealers, Inc. (NASD) and the member-regulation operations of the New York Stock Exchange (NYSE).
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— In the Matter of Department of Enforcement v. Alan Jay Davidofsky
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— In the Matter of Poloniex, LLC, Respondent, Order Instituting Cease-and-Desist Proceedings
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— In the Matter of the Application of Kirlin Securities, Inc. Anthony Kirincic and Andrew Israel
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