A New Direction for FINRA?
Posted
October 11, 2017
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241
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October 11, 2017
241
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1:10:28Now PlayingThe Financial Industry Regulatory Authority (FINRA) is a regulator of central importance to the functioning of U.S. capital markets. It regulates nearly 4.000 broker-dealers and almost 650,000 registered representatives. It is a private, not-for-profit organization. In 2015, FINRA levied $94 million in fines against broker-dealers, took 1,512 disciplinary actions against broker-dealers, and ordered $97 million in restitution to harmed investors. FINRA has an annual budget of $1 billion.
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