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Order Types and Current Quotes

This course is designed to help learners describe various types of orders, provide current quotes to customers, and communicate effectively with customers regarding orders and transactions.

Scam Trends

In this course, learners will explore common scam trends and signs of possible scam victimization, demonstrate next steps to take if they suspect a customer is being scammed, and learn how to prevent victimization.

Communicating about Departing Registered Representatives

This course aims to help learners identify firm responsibilities regarding continuity in coverage and procedures for when a registered representative has left the firm.

Regulation BI’s Care Obligation – Second Component

This course focuses on the second component of SEC Regulation BI’s Care Obligation. In this course, learners will apply the SEC's guidance on making a recommendation in the best interest of one particular retail customer and explore effective practices for ensuring that registered persons understand the process for evaluating reasonably available alternatives.

24-00971(3).pdf

motion to vacate

Call for Candidates for Committee Elections

September 10, 2025

Features

2024081184401 Joshua Ethan Scholnick CRD 7720831 Complaint ks (2025-1760142000912).pdf

The Department of Enforcement alleges: On August 25, 2023, while associated with a FINRA member, Joshua Scholnick cheated on the Securities Industry Essentials (SIE) examination. During the examination, which Scholnick took from his home, he used his phone to access prohibited study materials to help him answer the test’s questions. He did so after acknowledging and agreeing to follow FINRA’s SIE Rules of Conduct, which forbid possessing or using phones, notes, and study materials during the examination.

September 2025

25-00718.pdf

2022075850501 Jefferies LLC CRD 2347 AWC lp (2025-1760142000890).pdf

Between September 2009 and July 2022, Jefferies inaccurately calculated its customer and proprietary accounts of broker-dealers (PAB) reserve formula computations, as required by § 15(c) of the Securities Exchange Act of 1934 and Exchange Act Rule 15c3- 3, resulting in 136 customer reserve hindsight deficiencies and three PAB reserve hindsight deficiencies. This caused the firm to maintain inaccurate books and records and file inaccurate FOCUS reports.

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