September 29, 2016 5:48 AM ET

Capital Markets

Company Overview of Financial Industry Regulatory Authority, Inc.

Company Overview

Financial Industry Regulatory Authority, Inc. (FINRA) is a trade association that provides regulatory, consulting, and advisory services focusing on financial services and securities brokerage companies. The organization offers registration, dispute resolution, federal securities law enforcement, market surveillance and analysis, and regulatory policy formulation and implementation services. FINRA, formerly known as National Association of Securities Dealers, Inc., was founded in 1938 and is headquartered in Washington, District of Columbia.

1735 K Street

Washington, DC 20006

United States

Founded in 1938

Phone:

202-728-8000

Fax:

202-293-6260

Key Executives for Financial Industry Regulatory Authority, Inc.

Executive Chairman of Board of Governors and Chief Executive Officer
Age: 65
Executive Vice President and Chief Financial Officer
Senior Vice President and Regional Director of New York Region
President of Dispute Resolution, Executive Vice President, and Chief Hearing Officer
Executive Vice President and Director of Dispute Resolution
Compensation as of Fiscal Year 2016.

Financial Industry Regulatory Authority, Inc. Key Developments

Financial Industry Regulatory Authority Penalizes Bank of America Corp with $3 Million

Bank of America Corporation was penalized $3 million by the Financial Industry Regulatory Authority, on behalf of the New York Stock Exchange, NASDAQ and others, for violating the market access rules and the exchanges' supervision rules. The exchanges' investigation found Merrill Lynch filed more than 200 incorrect petitions from July 2011 to October 2014.

KCD Financial, Inc. Files an Application for Review of Disciplinary Action Taken Against it by Financial Industry Regulatory Authority

KCD Financial, Inc. filed an application, pursuant to Section 19(d)(2) of the Securities Exchange Act of 1934, for review of disciplinary action taken against the company by the Financial Industry Regulatory Authority. FINRA filed a copy of the index to the record on September 9, 2016, pursuant to Rule 420(d) of the Rules of Practice. Accordingly, it is ordered, pursuant to Rule 450(a) of the Rules of Practice, that a brief in support of the application for review shall be filed by October 21, 2016. A brief in opposition shall be filed by November 21, 2016, and any reply brief shall be filed by December 5, 2016. Pursuant to Rule 180(c) of the Rules of Practice, failure to file a brief in support of the application may result in dismissal of this review proceeding.

Financial Industry Regulatory Authority, Inc. Announces Appointment of Board of Governors

Financial Industry Regulatory Authority, Inc. at its Annual Meeting held on September 19, 2016, appointed Bob Muh, Chief Executive Officer, Sutter Securities, Inc. was elected as a Small Firm Governor, one of three representatives of small firms on the Board of Governors. The Nominating Committee nominated and the Board appointed two new public governors whose terms will begin as of the annual meeting: Eileen Murray, co-CEO of Bridgewater Associates; Hillary Sale, Walters D. Coles Professor of Law at Washington University in St. Louis Law School.

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