I can not see any reason not to take a test before investing.
The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s web-based systems.
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 To Whom It May Concern, Hi there. I’m Dave Nadig, Financial Futurist for ETF Trends and ETF Database. For most of the last 25 years, my job has been to help asset managers understand investors and help investors understand the products that asset managers build. Since 1993, I’ve been in
Firm Required to Retain an Independent Consultant
WASHINGTON – FINRA announced today that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of at least five years. As part of the settlement, Cantor also agreed to retain an independent consultant to conduct a comprehensive review of the firm’s
A member firm that provides services to Non-ERISA Plan participants and beneficiaries may rely on the filing exclusions contained in Rule 2210(c)(7)(B) and (C) in preparing and distributing a “Model Disclosure” as described in the letter, subject to the stated conditions and obligations discussed in the letter.
The whole point of cryptocurrency was to restore power to the people. A financial system that wasn't rigged in favor of the rich. Adding more friction to being able to invest further rigs the system against the majority.
The small firm community, those firms with 150 or fewer registered financial professionals came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we go behind the scenes of this year's event to share with you the fireside chat between FINRA CEO Robert Cook and FINRA's Head of Member Relations, Kayte Toczylowski.
FINRA would like to remind member firms of their obligation to file their 3070/Customer Complaints by their required due dates.
