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Member SupervisionCollege of Examinations and College of Risk MonitoringThe College of Examinations (COE) and College of Risk Monitoring (CORM) are elite training programs kicking off in July. A group of entry-level employees will start their careers in Member Supervision through a multi-week training and networking extravaganza.The COE and
FINRA’s Corporate Internship Program—a paid 12-week program—offers practical “hands-on” experience with the largest self-regulatory organization for securities firms doing business in the United States. Our program offers interns opportunities to build their careers—and supplement what they’ve learned in the classroom—by meeting and working with employees throughout our organization.Our program
During its May 17 and 18 meeting, the FINRA Board of Governors appointed new public governor Lisa Fairfax, approved FINRA’s 2022 Annual Financial Report and appointed new members to FINRA Advisory Committees.
The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange and for trades in Restricted Equity Securities effected under Securities Act Rule 144A and dissemination of last sale reports.For those OTC Equity Securities and Restricted Equity Securities that are not eligible for clearance and
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
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Your First Step to a Career in the Securities IndustryOn This PageOverviewEnrollment OptionsContent OutlineBenefitsAfter You Pass the SIESIE Reimbursement for Military VeteransOverviewThe Securities Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss Regulatory Notice 24-02 which includes Residential Supervisory Location and the Remote Inspections Pilot ProgramSpeakers:Robert Cook, FINRA President and Chief Executive OfficerEric Chandler, Vice President, Member SupervisionKosha Dalal, Vice President
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the intersection of cybersecurity, fraud and financial crimes. Staff will also highlight resources, tools and tips for mitigating risk in this area.Speakers:Robert Cook, FINRA President and Chief Executive OfficerBrita Bayatmakou, Vice President, Cyber
