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.
Source: Wikipedia
Lobbying
$830,000 SpentFigures 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
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Names of Lobbyists
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Firm Hired Amount Baker & Hostetler $200,000 Rich Feuer Group $110,000 Podesta Group $90,000 Nappi & Hoppe $90,000 Davis & Harman $50,000 -
Most Frequently Disclosed Lobbying Issues
- Finance
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Most Frequently Disclosed Bills
Bill No. Title H.R.4173 Wall Street Transparency and Accountability Act of 2010 S.913 Workforce Health Improvement Program Act of 2009
Regulations
281 MentionsAll 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.
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Mentions in Document Text
Advisory Committees
1 person on 1 committeeData 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.
View all advisory committee data for Financial Industry Regulatory Authority