Tag Archive for FINRA

FINRA is the Financial Industry Regulatory Authority, which is a self regulatory organization which is the largest independent regulator for all securities firms operating within the United States. FINRA was formed by a merger of the National Association of Securities Dealers (NASD) regulatory division and the regulatory division of the New York Stock Exchange. FINRA is managed by a Board of Governors. FINRA regulates trading in equities, corporate bonds, securities futures, and options with authority over the activities of more than 5,100 brokerage firms.

Changes to FINRA Corporate Action Process

Beginning June 5th, 2023, FINRA will be replacing the current corporate action notification, review, and approval process with the new Corporate Actions Management platform.  This new platform will be accessible through the FINRA Gateway.  (https://gateway.finra.org)