24-01755(2).pdf
Motion to Confirm
FINRA.org will undergo scheduled maintenance on October 18, 2026, 11 p.m. – October 19, 2026, 5 a.m., with a brief 5 min. outage during this window.
24-00543(4).pdf
Appeal of Order to confirm
VANGUARD MARKETING CORPORATION
Information
- Reporter ID
- VGRD
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/vgrd/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-01-2026 | https://public.s3.com/rule605/vgrd/ | |
| 07-09-2026 | https://public.s3.com/rule605/vgrd/ [public.s3.com] |
CHEA
Certified Home Equity Advisor (CHEA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | National Association of Insurance and Financial Advisors (NAIFA) |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must be NAIFA members and be actively engaged in a profession related to financial services, insurance, mortgage lending, retirement planning, wealth management, or a related advisory field. |
| Designation Training Requirements | Training program offered via online, in-person or hybrid instruction |
| Designation Exam Type | Closed book, proctored final exam offered online or in-person |
| Continuing Education Requirements | 1 hour annually |
| Verification and Complaints | |
| Online Designation Resource | Online at Find a Financial Professional |
| Investor Complaint Process | Submit complaints in writing to: |
| Published List of Disciplined Designees | None |
CFOA
Certified Futures and Options Analyst (CFOA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | International Council for Derivative Trading (ICFDT) |
| Qualification and Training Requirements | |
| Prerequisites | None |
| Designation Training Requirements | Optional self-study curriculum or ICFDT-authorized training program |
| Designation Exam Type | Online or in-person proctored exam |
| Continuing Education Requirements | None |
| Verification and Complaints | |
| Online Designation Resource | Online at CFOA Registry |
| Investor Complaint Process | Submit complaints via email to [email protected] |
| Published List of Disciplined Designees | None |
IPA
Impact Philanthropy Advisor (IPA)
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | Daylight Advisors, Inc. |
| Qualification and Training Requirements | |
| Prerequisites | Candidates must have three years of related work experience (e.g., wealth or tax advising, fundraising or gift planning, foundation staffing, philanthropy or nonprofit consulting) |
| Designation Training Requirements | Online, self-study training program and live group discussions |
| Designation Exam Type | Open-book quiz at the end of each course |
| Continuing Education Requirements | 10 hours annually |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | None |
| Published List of Disciplined Designees | None |
PUMA CAPITAL, LLC
Information
- Reporter ID
- PUMA
- Reporter Type
- OTC Market Maker
- Current Report URL
- https://www.pumacap.com/605606?PUMA_605
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-08-2026 | https://www.pumacap.com/605606?PUMA_605 |
Deadline Fast Approaching to Vote in FINRA Board Election
July 8, 2026
Features |
MCAP LLC
Information
- Reporter ID
- MCAP
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/mcap/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-08-2026 | https://public.s3.com/rule605/mcap/ |
Regulatory Notice 26-14
Summary
FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).