Government Shutdown Information

2023077040901 Curtis Wayne Smith CRD 1383235 AWC lp (2025-1747268407154).pdf

In May and June 2024, Smith impersonated a customer on four telephone calls to an annuity provider in order to obtain paperwork to facilitate a transaction for the customer, in violation of FINRA Rule 2010. In April 2022, Smith exercised discretion without prior written authorization in a customer account, in violation of FINRA Rules 3260(b) and 2010.

Regulatory Notice 25-07

Advances in technology have transformed the workplace for members and their associated persons. These advances have changed how members and their associated persons conduct business and interact with customers, expanded customers’ choices in engaging with members and the securities markets, and created opportunities for different workplace arrangements for members and associated persons. Members also increasingly leverage digital innovations to create operational efficiencies and optimize decision-making, and to respond to investor demand for digital platforms.

M2SD

Macro Specialist Designation (M2SD)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization The Macro Institute
Qualification and Training Requirements
Prerequisites

Candidates must be at least 18 years of age when registering for Level 1 training.
Designation Training Requirements

Two levels of online, self-paced training
Designation Exam Type

In-person, closed-book, proctored final exams
Continuing Education Requirements

None
Verification and Complaints
Online Designation Resource

Online at https://go.themacroinstitute.com/msd_charterholders
Investor Complaint Process

Submit complaints via email to [email protected].
Published List of Disciplined Designees

None
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