FINRA Employees Retirement Plan

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FINRA ordered by SEC to improve documents policies

WASHINGTON (AP) -- The brokerage industry's self-policing organization has been ordered to improve its document procedures after allegedly providing altered records to the Securities and Exchange Commission for an inspection in 2008. The Financial Industry ...

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Yahoo Finance
October 27, 2011
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With Finra in red, officials saw green

Thirteen current and former executives of the Financial Industry Regulatory Authority Inc. made more than $1 million apiece in 2008, a year in which the regulatory organization had an operating loss of $696 million, according to tax forms that Finra filed ...

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Investment News
December 5, 2009
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