Tags: Government Agency.
In the United States the Financial Industry Regulatory Authority Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers Inc. (NASD) and the member regulation enforcement and arbitration operations of the New York Stock Exchange. It is a self-regulatory organization a non-governmental organization that performs financial regulation of member brokerage firms and exchange markets.