The following links should be helpful when filing online for your firm and associated individuals:CRD System and Related LinksElectronic Fingerprint ProcessingElectronic Fingerprint Submission (EFS)Filing Guidance Related to Registration FormsCurrent Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)Investment Adviser Representative (RA) Form Filing
Increasingly, many investors have been choosing to put money where their values are—into a growing array of products that fall broadly into the category of environmental, social and governance investing, often called ESG investing for short. If you're thinking about investing in ESG products, here are some tips to keep in mind and traps to avoid.
A diversified portfolio tends to be harder to achieve than simply following the mantra to avoid putting all of your investment eggs in one basket. This basic strategy can help, but it is often not enough to avoid concentration risk—the risk of amplified losses that may occur from having a large portion of your holdings in a particular investment, asset class or market segment relative to your overall portfolio. Learn more about concentration risk and read tips on how to manage it.
Mr. Rindell is Vice President of Learning, Talent and Organizational Development at FINRA, with responsibility for FINRA’s training and development programs.Prior to joining FINRA, Mr. Rindell led enterprise leadership development and executive coaching at Cigna and played a key role in enhancing performance management, advancing enterprise leadership development and revamping Cigna's
FINRA alerts member firms that the New York Stock Exchange (NYSE) has filed a rule change for immediate effectiveness to harmonize NYSE Rule 3110 (Supervision) with FINRA Rule 3110 (Supervision) to permit eligible NYSE member organizations to participate in FINRA’s Remote Inspections Pilot Program and to adopt FINRA’s Residential Supervisory Location (RSL) classification.
PDT rule makes it difficult to grow small accounts quickly, please remove it.If someone with an account value less than $25,000 buys multiple (4 or more, maybe including options) securities, and they are all profitable, they risk getting hit with the PDT rule if they close all of them to realize their profits.To avoid getting hit with the rule, they would have to leave some of the profitable
A segment of financial institutions, including broker-dealers, are actively experimenting with incorporating the metaverse and its immersive technologies.40 Metaverse technologies can include VR and AR, but these are not the only portals to the metaverse. Users can access virtual worlds through laptops, gaming consoles and phones.41Some firms indicated that they are examining how to leverage
The Series 99 exam — the Operations Professional Exam — assesses the competency of an entry-level registered representative to perform their job as an operations professional.
The Series 24 exam — the General Securities Principal Qualification Exam (GP) — assesses the competency of an entry-level principal to perform their job as a principal dependent on their corequisite registrations.
