Financial Industry Regulatory Authority
Trade Association
FINRA bars California broker for insider trading (AP)...Nov 4, 1:19 pm ET WASHINGTON - The Financial Industry Regulatory Authority on Wednesday said it barred a former registered representative based in California after he took part in insider trading earlier this year. FINRA said Abhishek... In this article: Financial Industry Regulatory Authority, Insider trading, California, Piper Jaffray, Infor Global Solutions, Golden Gate Capital, Barack Obama, and Rose Garden |
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www.finra.org
FINRA - FINRA Bars California Broker for Insider Trading
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced that a former registered representative, Abhishek Uppal, has been barred from ...
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www.examiner.com
Latest Financial Industry Regulatory Authority News ...
Latest Financial Industry Regulatory Authority news stories at Examiner.com ... registered representative based in California after he took part in ...
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FINANCIAL INDUSTRY REGULATORY AUTHORITY
FINANCIAL INDUSTRY REGULATORY AUTHORITY. 1. OFFICE OF HEARING ... November 6, 2007, in San Francisco, CA. A notice specifying the exact time and location of the ...
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content.usatoday.com
Financial Industry Regulatory Authority Topics Page ...
Collection of all USATODAY.com coverage of Financial Industry Regulatory Authority., including articles, videos, photos, and quotes.
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investing.businessweek.com
Financial Industry Regulatory Authority, Inc.: Private ...
Get Financial Industry Regulatory Authority, Inc. company research & investing information. Find executive management and the latest company developments.
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www.consumer-action.org
Consumer Action :: Financial Industry Regulatory Authority (FINRA)
CA News. Newsletter. Surveys. Help Desk. Submit Complaint. FAQs. Consumer Resources ... The Financial Industry Regulatory Authority (FINRA), is the largest non ...
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www.calchamber.com
Non-Profit Offers Tools to Prevent Early Retirement Scams ...
(November 23, 2009) The California Chamber of Commerce wants employers and ... currently available through the Financial Industry Regulatory Authority (FINRA) ...
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www.wikinvest.com
NASD
FINRA Bars California Broker For Insider Trading. Mondo Visione Nov 4 Comment ... Financial Industry Regulatory Authority (FINRA) ...
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www.comcast.net
FINRA bars California broker for insider trading | Health ...
The Financial Industry Regulatory Authority on Wednesday said it barred a former registered representative based in California after he took part in insider trading ...
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Description from Wikipedia:
In the United States, the Financial Industry Regulatory Authority (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 confused for a government agency, FINRA is not part of the U.S. government and is not a government agency—it is a private corporation that performs market regulation under contract with brokerage firms and trading markets. The complete name of the entity is Financial Industry Regulatory Authority, Inc.
FINRA regulates its members through the adoption and enforcement of rules and regulations governing the business conduct of its members. It often provides advice to the U.S. Securities and Exchange Commission (a U.S. government agency). However, because FINRA receives its funding from the Wall Street organizations it actually seeks to regulate, FINRA is sometimes viewed as the 'fox guarding the hen house'. Some view FINRA as having a conflict of interest. FINRA also provides the binding arbitration service which investors (customers of Wall Street firms) are forced to agree to (through contracts of adhesion), rather than being able to bring their disputes against Wall Street firms and stock brokers, for example, into the federal court system for a judge or jury to rule upon.
FINRA was formed by a consolidation of the enforcement arm of the New York Stock Exchange, NYSE Regulation, Inc., and the NASD. The merger was approved by the United States Securities and Exchange Commission (SEC) on July 26, 2007.
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