FINRA's First Five Years: 6,291 Disciplinary Actions


[31 July 2012] -- THE Financial Industry Regulatory Authority said Monday that it had brought 6,291 disciplinary actions and levied a total of $254.1 million in fines, since its formation on July 30, 2007.

FINRA was formed by the consolidation of the National Association of Securities Dealers and the member regulation, enforcement and arbitration operations of the New York Stock Exchange.

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