Advertisement The Financial Industry Regulatory Authority, aka FINRA, is a non-profit Delaware corporation. It was formed in 2007 by the combination of the National Association of Securities Dealers, Inc. and the regulatory arm of the New York Stock Exchange, Inc. FINRA is a self-regulatory organization that primarily regulates securities broker-dealers. Professor Benjamin P. Edwards recently reported that a complaint has been … Continue reading Is The End Of FINRA Drawing Nigh?