GUIDANCE
Qualification Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—Direct Participation
Programs (Series 39)
Limited Principal—Financial and
Operations (Series 27)
Limited Principal—Introducing
Broker-Dealer Financial and
Operations (Series 28)
By using BrokerCheck or the BrokerCheck data, users agree to comply with BrokerCheck’s Terms of Use.
The BrokerCheck Terms of Use permit use of BrokerCheck data for investor protection, academic, compliance or regulatory purposes. The Terms of Use do not permit use of BrokerCheck for other purposes (with limited exceptions), and it may not be used in violation of the law.
You can use
Web EFT Frequently Asked Questions
SUGGESTED ROUTING
Legal & Compliance
Operations
Options
Executive Summary
The Securities and Exchange Commission has approved proposals by each of the five registered national options exchanges and the National Association of Securities Dealers, Inc. (the SROs) that provide member firms with more flexibility in how they store account statements and other information for
You are requested to comment on these proposals. Let's face it, the Hedge Funds are going to be using their voices to prevent these changes from occurring so we need to use our voice too. There are a lot more apes than Hedgies. I've cut and pasted just some of the proposals (man, if you think this is a long and dry read, wait until you read the webpage): - Account-level Position
The current state the US market is full of fraud and manipulation. There is definitely a need for change. It’s a massive conflict of interest when a company is a hedge fund and a market maker!! All shares, synthetic and short, needs to reported daily and posted for retail investors. The market makers/hedge funds have all the information in front of them to make their informed decision. Retail
Findings Reveal Decline in U.S. Adults’ Ability to Make Ends Meet and Save for Emergencies, More Households Strained by Increased Costs, and the Struggle of the Middle-Income Group
Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)
The Registered Representative Composition Report is produced on a quarterly basis and displays trends in the profile of registered representatives associated with the firm. The report allows firms to compare their statistics to those of the industry. The data in this report comes from Web CRD®.
This report is generally published approximately 5 weeks after the last business day of the quarter.
FINRA’s Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the industry and
