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Username: LuckyWoman

Rating:
Guru Stars

Asked to: Heng Kim

Date Created: 20 Apr 2018
Category 28
Tag Financial
Question What is the 'Financial Industry Regulatory Authority - FINRA'?
Advice from Guru
Hello LuckyWoman,

The Financial Industry Regulatory Authority (FINRA) resulted from the merger of the New York Stock Exchange’s regulatory committee and the National Association of Securities Dealers. FINRA, as a regulatory body, is tasked with governing all business dealings conducted between dealers, brokers and all public investors. The consolidation of these two regulators aims into FINRA aims to do away with overlapping regulation and inefficient costs. At its origin, FINRA was known as SIRA, the Securities Industry Regulatory Authority, but there were numerous complaints because the name carried a strong similarity to the Arabic term "Sirah," a term used for biographical texts about the life of Muhammad.

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