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 Spent
Information

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.

covers through Q3, 2011

Lobbying On Behalf of Financial Industry Regulatory Authority

View all lobbying data for Financial Industry Regulatory Authority Sources: Lobbyist Registration Tracker OpenSecrets.org

Regulations

281 Mentions
Information

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.

updated from Regulations.gov on September 27, 2011

The tables show occurrences of "Financial Industry Regulatory Authority" in public comments on proposed federal regulations.

  • Mentions in Document Text
    • Mentions
    • Agency
    • Docket
    • Date
    • Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ Stock Market LLC 2011
    • Toggle 1 SEC Agency Information Collection Activities; Proposals, Submissions, and Approvals 2011
    • Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc. 2011
    • Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc. 2011
    • Toggle 1 PC Agency Information Collection Activities; Proposals, Submissions, and Approvals 2011
    • Toggle 1 CFTC Registration of Intermediaries 2011
    • Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ Stock Market LLC 2011
    • Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: Depository Trust Co. 2011
    • Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc. 2011
    • Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc. 2011

Advisory Committees

1 person on 1 committee
Information

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.

covers through 2011

Table shows employees of "Financial Industry Regulatory Authority" that sat on federal advisory committees.

  • Agency
  • Representation
  • Toggle Department of the Treasury 1 person on 1 committee
View all advisory committee data for Financial Industry Regulatory Authority