FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
BNP PARIBAS SECURITIES CORP.
Information
- Reporter ID
- BNPS
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://globalmarkets.cib.bnpparibas/cortex-equities-routing-data-americas/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-03-2026 | https://globalmarkets.cib.bnpparibas/cortex-equities-routing-data-americas/ |
BNP PARIBAS SECURITIES CORP.
Information
- Reporter ID
- BNPX
- Reporter Type
- Alternative Trading System
- Current Report URL
- https://globalmarkets.cib.bnpparibas/cortex-equities-routing-data-americas/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-03-2026 | https://globalmarkets.cib.bnpparibas/cortex-equities-routing-data-americas/ |
MOSAIC ATS
Information
- Reporter ID
- MOAT
- Reporter Type
- Alternative Trading System
- Current Report URL
- https://public.s3.com/rule605/moat
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-03-2026 | https://public.s3.com/rule605/moat |
Help Shape the Future of the Series 7 Exam
September 2, 2026
Features |
2025085419901 Daniel G. Diaz CRD 1715827 AWC lp.pdf
In July 2026, Diaz refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
CDAS
Certified Digital Asset Specialist (CDAS)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Institute of Business & Finance |
| Qualification and Training Requirements | |
| Prerequisites | Candidate must have a bachelor's degree or one year of financial services work experience. |
| Designation Training Requirements | Online, self-study course, including written case study |
| Designation Exam Type | Online, proctored, closed-book exams |
| Continuing Education Requirements | 30 hours every two years |
| Verification and Complaints | |
| Online Designation Resource | Online at Find an Advisor |
| Investor Complaint Process | Submit complaints via mail to Executive Director, Institute of Business & Finance, 10531 4S Commons Drive, Suite 166-559, San Diego, CA 92127 |
| Published List of Disciplined Designees | None |