Financial Industry Regulatory Authority

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Financial Industry Regulatory Authority

ORGANIZATION

Formed 2007 by the merger of the National Association of Securities Dealers with the regulatory portion of the New York Stock Exchange. "The Financial Industry Regulatory Authority is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch offices and more than 676,000 registered securities representatives."

Official Website:
http://www.finra.org/

Founding Date:
2007

Name Occupation Birth Death Known for

John W. Bachmann Business 16-Nov-1938 Partner, Edward Jones

William G. Morton, Jr. Business c. 1937 CEO of Boston Stock Exchange, 1985-2001

Mary L. Schapiro Government 19-Jun-1955 Financial Industry Regulatory Authority

Joel Seligman Educator 11-Jan-1950 President, University of Rochester

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