Financial Industry Regulatory Authority
In the United States, the Financial Industry Regulatory Authority, Inc., or 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). Though sometimes mistaken for a government agency, it is a non-governmental organization that performs financial regulation of member brokerage firms and exchange markets.
Figures are based on lobbying activity reported to the Senate Office of Public Records. Reported dollar amounts are required to be accurate only to the nearest $20,000. For organizations whose primary business is lobbying, we display total income and top clients. For organizations that are not primarily lobbying firms, we display total amount spent on lobbying and top lobbying firms hired.
For more information, please see our lobbying methodology page.
Lobbying on Behalf of Financial Industry Regulatory Authority
Names of Lobbyists
Firm Hired Amount Financial Industry Regulatory Authority $1,850,000
Most Frequently Disclosed Lobbying Issues
- Economics & Econ Development
Most Frequently Disclosed Bills
Bill No. Title H.R.4173 Wall Street Transparency and Accountability Act of 2010 H.R.3817 Investor Protection Act of 2009 S.3217 Private Fund Investment Advisers Registration Act of 2010
Recent Lobbying Contracts
Date Registrant Summary April 20, 2015 O'Rourke & Nappi, LLP Dodd-Frank implementation. Self-regulatory Organizations and the regulation of broker-dealers. The operation and oversight of the National Market System. View registration
RegulationsMentioned in 582 dockets
All data is based on documents downloaded from Regulations.gov. The first table shows mentions: all documents that include the name of the company anywhere in the document or document metadata. The second table shows submissions: all documents where the submitter metadata included the company name. Each table shows the top 10 dockets, ranked by number of occurrences.
Matches are based on a search for the company name. Variations in the company name, such as acronyms, nicknames or alternate names may cause documents to be missed. The mention of a company name in a document may be incidental and does not necessarily indicate that the company has any relevance to the document. Company names that are common English words may erroneously match with text that is not referring to the company.
Not all agencies submit public comments to Regulations.gov. For a list of participating and non-participating agencies see here. Agencies that do submit to Regulations.gov have varying levels of accuracy and completeness.
Regulations and public comments can be downloaded in bulk here.
The tables show occurrences of "Financial Industry Regulatory Authority" in public comments on proposed federal regulations.
Mentions in Document Text
View all mentions data for Financial Industry Regulatory Authority
- Toggle 6 EBSA Definition of the Term ‘‘Fiduciary’’ 2010
- Toggle 2 EPA Control of Air Pollution From Aircraft and Aircraft Engines; Emissions Standards and Test Procedures 2010
- Toggle 2 FCA Registration of Mortgage Loan Originators 2010
- Toggle 2 OCC Registration of Mortgage Loan Originators 2010
- Toggle 2 EBSA Request for Information Regarding Lifetime Income Options for Participants and Beneficiaries in Retirement Plans 2010
- Toggle 2 FRS Registration of Mortgage Loan Originators 2010
- Toggle 2 FDIC Registration of Mortgage Loan Originators 2010
- Toggle 2 NCUA Registration of Mortgage Loan Originators 2010
- Toggle 2 OTS S.A.F.E. Mortgage Licensing Act 2010
- Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc. 2010
Advisory Committees2 people on 2 committees
Data is based on disclosures required by the Federal Advisory Committee Act (FACA). Matches are based on the occurrence of the company name in the committee member affiliation. Variations in company names may cause some matches to be missed.
The table shows only the top 10 agencies. To search and download raw records from the complete dataset see the FACA data section.
Table shows employees of "Financial Industry Regulatory Authority" that sat on federal advisory committees.
- Toggle Department of the Treasury 2 people on 2 committees