As the world’s largest securities self-regulatory organization, NASD has been helping to bring integrity to the markets and confidence to investors for more than 60 years.
FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.
The Series 28 exam — the Introducing Broker-Dealer Financial and Operations Principal Qualification Exam (FI) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal in an introducing broker-dealer that does not carry customer accounts or hold customer funds or securities.
This Friday the 13th, you might take some extra precautions to ward off bad luck. But even if you’re not superstitious, it’s worthwhile to consider how to safeguard your financial situation—not just today, but every day. Use these four tips to ward off bad luck when it comes to your finances.
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
FINRA Provides Guidance to Firms Regarding Anti- Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
