January 21, 2017 9:19 PM 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 Appoints Gregory J. Dean, Jr. as Senior Vice President for the Office of Government Affairs

The Financial Industry Regulatory Authority (FINRA) announced that it has named Gregory J. Dean, Jr. as its Senior Vice President for the Office of Government Affairs. Mr. Dean will start at FINRA on January 30, 2017. Mr. Dean comes to FINRA from the Royal Bank of Canada where he is currently Senior Director, Regulatory & Government Affairs.

Financial Industry Regulatory Authority, Inc. Reports Disciplinary Action Taken against BGC Financial

Financial Industry Regulatory Authority, Inc. reported disciplinary actions taken against certain broker/dealers in December for violations of its rules and regulations. BGC Financial LP was censured and fined $155,000 over failure to transmit last sale reports of transactions in designated securities and to report the correct execution time of these transactions. BGC Financial is required to revise its written supervisory procedures to achieve compliance with equity trade reporting.

Financial Industry Regulatory Authority, Inc. Reports Disciplinary Action Taken against BNP Paribas Securities Corp

Financial Industry Regulatory Authority Inc. reported disciplinary actions taken against certain broker/dealers in December for violations of its rules and regulations. The regulator fined BNP Paribas Securities Corp. $85,000 for not reporting the accurate execution time for corporate debt inter-dealer transactions. FINRA also censured the company and levied another penalty of $135,000, saying BNP Paribas did not take reasonable steps to ensure that the intermarket sweep orders routed by it met FINRA requirements.

Similar Private Companies By Industry

Company Name Region
@Visory LLC United States
1 Road Partners LLC United States
11T Partners, LLC United States
123Jump.com, Inc. United States
1509225 Ontario, Inc. United States

Recent Private Companies Transactions

Type
Date
Target
No transactions available in the past 12 months.
 

The information and data displayed in this profile are created and managed by S&P Global Market Intelligence, a division of S&P Global. Bloomberg.com does not create or control the content. For inquiries, please contact S&P Global Market Intelligence directly by clicking here.

Stock Quotes

Market data is delayed at least 15 minutes.

Company Lookup

Most Searched Private Companies

Company Name Geographic Region
Lawyers Committee for Civil Rights Under Law United States
NYC2012, Inc. United States
Bertelsmann AG Europe
Rush University United States
The Advertising Council, Inc. United States

Sponsored Financial Commentaries

Sponsored Links

Request Profile Update

Only a company representative may request an update for the company profile. Documentation will be required.

To contact Financial Industry Regulatory Authority, Inc., please visit www.finra.org. Company data is provided by S&P Global Market Intelligence. Please use this form to report any data issues.

Please enter your information in the following field(s):
Update Needed*

All data changes require verification from public sources. Please include the correct value or values and a source where we can verify.

Your requested update has been submitted

Our data partners will research the update request and update the information on this page if necessary. Research and follow-up could take several weeks. If you have questions, you can contact them at bwwebmaster@businessweek.com.