FINRA

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A Few Minutes with FINRA: Small Firm Advisory Committee Recap

By | September 24th, 2018|Categories: FINRA, Investors|Tags: , , , , , , , |

The Small Firm Advisory Committee (“SFAC”) was formed in 1998. Currently, the SFAC chair is Wendy Lanton, of Lantern Investments. The purpose of the SFAC is to relay issues of interest and concern to the FINRA Board of Governors. Also, the SFAC reviews new and amended FINRA proposed rules and offers comments and guidance to [...]

What Is FINRA?

By | January 27th, 2017|Categories: Arbitration, FINRA, Mediation|Tags: , , , , , , |

FINRA is the Financial Industry Regulatory Authority. According to FINRA’s website, “FINRA provides the first line of oversight for broker-dealers and the first line of defense for investors by virtue of its comprehensive oversight program. FINRA regulates both the firms and professionals selling securities in the United States and the U.S. securities markets. In this [...]