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

Copyright ©2025