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The Small Firm Conference Call

FINRA President and CEO, Robert Cook, and Vice President of Member Relations and Education, Kayte Toczylowski, will be joined by FINRA staff to discuss the 2021 Report on FINRA's Examination and Risk Monitoring Program.

20-02259.pdf

The Honors Program

The honors program is a two-year rotational program open to recent law school graduates and attorneys concluding clerkships. These full-time positions offer the opportunity to do sophisticated legal work to protect investors and the financial markets.

20-01941.pdf

17-03293.pdf

20-01324.pdf

18-01288.pdf

Small Firm Virtual Conference

The Small Firm Virtual Conference focuses on small firms’ practices and tips for complying with FINRA rules.

GWFS Equities, Inc. Comment on Regulatory Notice 20-42

2017052330501 Triad Advisors, LLC CRD 25803 AWC jlg (2021-1615508403618).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052330501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Triad Advisors, LLC (Respondent) Member Firm CRD No. 25803 Pursuant to FINRA Rule 9216, Respondent Triad Advisors, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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