RIB
Registered Investment Banker (RIB)
Designation Essentials | |
---|---|
Status | Currently offered and recognized by the issuing organization. |
Designation Notes | This professional designation is to recognize the registering professional for their education, training, experience and licensure within this specified area of industry/practice. Designations are issued for 24-month durations by paying the required monthly designation licensing fee to Designation Depot. All qualifying professionals are eligible. |
Issuing Organization | Designation Depot |
Qualification and Training Requirements | |
Prerequisites | Self-attestation that applicant is educated, trained and licensed in this specific field of industry in order to use this designation license. |
Designation Training Requirements | None |
Designation Exam Type | None |
Continuing Education Requirements | None |
Verification and Complaints | |
Online Designation Resource | None |
Investor Complaint Process | Email: [email protected] |
Published List of Disciplined Designees | None |
REBP
Registered Employee Benefits Professional (REBP)
Designation Essentials | |
---|---|
Status | Currently offered and recognized by the issuing organization. |
Designation Notes | This professional designation is to recognize the registering professional for their education, training, experience and licensure within this specified area of industry/practice. Designations are issued for 24-month durations by paying the required monthly designation licensing fee to Designation Depot. All qualifying professionals are eligible. |
Issuing Organization | Designation Depot |
Qualification and Training Requirements | |
Prerequisites | Self-attestation that applicant is educated, trained and licensed in this specific field of industry in order to use this designation license. |
Designation Training Requirements | None |
Designation Exam Type | None |
Continuing Education Requirements | None |
Verification and Complaints | |
Online Designation Resource | None |
Investor Complaint Process | Email: [email protected] |
Published List of Disciplined Designees | None |
Technical NoticeOTC Transparency Data Issue
May 13, 2019
Currently, in the Tier 1 5/13/19 weekly report, there is ATS data that is unattributed (that is, there is no ATS name associated with one line of data found in the ATS Data tab). See below:
FINRA is currently investigating the issue and will publish another Technical Notice once the issue has been resolved.
District 9 - Philadelphia - Half-Day Compliance Bootcamp
September 17, 2019
9 a.m. - 1 p.m.
Delta Hotels by Marriott Baltimore Inner Harbor
1 E Redwood St.
Baltimore, MD 21202
(410) 234-8950
RegTech Conference
Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’ compliance programs—they also raise new challenges and regulatory implications for firms to consider.