For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Pursuant to FINRA Rule 4210(f)(8)(A), FINRA is establishing higher strategy-based margin requirements for exchange-traded notes (ETNs) and options on ETNs in light of the complex nature of these products. The new requirements for initial and maintenance margin are detailed below.
In addition, FINRA is clarifying that ETNs and options on ETNs are not eligible for portfolio margining under FINRA Rule 4210(g).
| Designation Essentials | |
|---|---|
| Status | Currently offered and recognized by the issuing organization |
| Issuing Organization | National Association of Insurance and Financial Advisors Certification Commission |
| Qualification and Training Requirements | |
| Prerequisites | Candidate must:
|
| Designation Training Requirements | None |
| Designation Exam Type | Final, proctored certification exam (online or in-person) |
| Continuing Education Requirements | 30 hours over a three-year period |
| Verification and Complaints | |
| Online Designation Resource | None |
| Investor Complaint Process | Submit complaints in writing to: LACP Certification Commission, c/o Executive Director |
| Published List of Disciplined Designees | None |
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed
Quality of Markets Violations
Disqualified Persons—Failure to Discharge Supervisory Obligations
