Oklahoma Department of Securities Comment On Regulatory Notice 21-17
Oklahoma Department of Securities
State Regulator
From our review of FINRA’s website information on diversity and Regulatory Notice 21-17, it is our opinion that your efforts are commendable and on target to promoting and encouraging diversity in the industry and at FINRA. The programs that you have established e.g. your Internal Racial Justice Task Force, Annual Diversity Summit and the Racial Justice Task Force should help identify barriers to inclusion in the industry and consequently, provide remedies to overcome such impediments. We are encouraged as well, by the development of the SIE (Securities Industry Essentials) Exam that is designed to identify potential candidates who have the acumen and talent for the broker-dealer industry. The Employee Resource Groups within FINRA, that promote information sharing and mentoring among employees, should serve FINRA well in terms of recruitment and retention of employees. Finally, your Annual Diversity and Inclusion Report evidences the progress that has been made towards the goal of a diversified work force at FINRA and the recruitment of prospective employees. From some of our discussions with minority members of the broker dealer industry in Oklahoma, common concerns regarding barriers in the industry involve product exams and the success rate of minority applicants and the allocation of customer accounts to industry members who are minorities.
For the Public
FINRA DATA
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
FINPRO
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
FINRA GATEWAY
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
For Case Participants
DR PORTAL
Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.
Need Help? | Check System Status
Log In to other FINRA systems
Oklahoma Department of Securities Comment On Regulatory Notice 21-17
From our review of FINRA’s website information on diversity and Regulatory Notice 21-17, it is our opinion that your efforts are commendable and on target to promoting and encouraging diversity in the industry and at FINRA. The programs that you have established e.g. your Internal Racial Justice Task Force, Annual Diversity Summit and the Racial Justice Task Force should help identify barriers to inclusion in the industry and consequently, provide remedies to overcome such impediments. We are encouraged as well, by the development of the SIE (Securities Industry Essentials) Exam that is designed to identify potential candidates who have the acumen and talent for the broker-dealer industry. The Employee Resource Groups within FINRA, that promote information sharing and mentoring among employees, should serve FINRA well in terms of recruitment and retention of employees. Finally, your Annual Diversity and Inclusion Report evidences the progress that has been made towards the goal of a diversified work force at FINRA and the recruitment of prospective employees. From some of our discussions with minority members of the broker dealer industry in Oklahoma, common concerns regarding barriers in the industry involve product exams and the success rate of minority applicants and the allocation of customer accounts to industry members who are minorities.