Registration Systems Foundation Training (Virtual)

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions, and learn more about navigating the system tools relevant to your work.

Attendance is limited to member-firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

2018057023701 TradeStation Securities, Inc. CRD 39473 AWC gg (2024-1710116412110).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057023701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeStation Securities, Inc. (Respondent) Member Firm CRD No. 39473 Pursuant to FINRA Rule 9216, Respondent TradeStation Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

CDAA

Chartered Digital Asset Analyst (CDAA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization DEC Institute
Qualification and Training Requirements
Prerequisites

Level I: None

Level II: Candidates must have passed the Level I exam and must be an undergraduate student, hold a bachelor’s degree, or have six months of industry experience.
Designation Training Requirements

Optional online training course and self-study materials
Designation Exam Type

Two proctored final exams (Level I and Level II), online or in person
Continuing Education Requirements

30 hours every three years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None

CBA

Chartered Blockchain Analyst (CBA)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization DEC Institute
Qualification and Training Requirements
Prerequisites

Level I: None

Level II: Candidates must have passed the Level I exam and must be an undergraduate student, hold a bachelor’s degree, or have six months of industry experience.
Designation Training Requirements

Optional online training course and self-study materials
Designation Exam Type

Two proctored final exams (Level I and Level II), online or in person
Continuing Education Requirements

30 hours every three years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None
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