Registration Systems Foundation Training

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 firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

2018060520901 SpeedRoute LLC CRD 104138 AWC gg (2023-1683246001403).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060520901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SpeedRoute LLC (Respondent) Member Firm CRD No. 104138 Pursuant to FINRA Rule 9216, Respondent SpeedRoute LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018059146501 Goldman Sachs & Co. LLC CRD 361 AWC lp (2023-1683246001785).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059146501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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