The U.S. Financial Industry Regulatory Authority (FINRA) is investigating Morgan Stanley over how the firm screened clients ...

FINRA is a private, self-regulatory body that’s made of brokerage firms and exchange markets that set financial industry rules and regulations. Learn more about who they are and what they do ...

The Heritage Foundation hosted a discussion with Robert Cook, president and chief executive officer pf the Financial Industry Regulatory Authority (FINRA). FINRA is the largest independent ...

To fulfill Dupre’s loan request, Finra said, “the customer borrowed funds on margin from his Ameriprise account, which the customer transferred to a personal bank account before loaning to Dupre. As a ...

Morgan Stanley is being probed by the Financial Industry Regulatory Authority over its vetting of clients for the risk of ...

The Financial Industry Regulatory Authority, Inc. (FINRA) is an independent regulatory body, overseeing securities firms and their brokers and other registered personnel. Arbitration of employment ...

Robert Cook, who led the SEC’s trading and markets division from 2010 to 2013, will become chief executive of the Financial Industry Regulatory Authority in August. Mr.

News about Financial Industry Regulatory Authority. Commentary and archival information about Financial Industry Regulatory Authority from The New York Times.

The Financial Industry Regulatory Authority, known as Finra, is investigating Morgan Stanley (MS) to see if the bank is properly assessing its clients for money laundering risks, according to a media ...