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Registration Systems Foundation Training (Dallas)

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

Registration Systems Foundation Training (Virtual)

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

Registration Systems Foundation Training (Virtual)

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

2018057023701 TradeStation Securities, Inc. CRD 39473 AWC gg (2024-1710116412110).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057023701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TradeStation Securities, Inc. (Respondent) Member Firm CRD No. 39473 Pursuant to FINRA Rule 9216, Respondent TradeStation Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.