Online Testing Technical Discussion: ProProctor Installation

Join FINRA and Prometric technologists for a discussion about the installation of ProProctor, a Prometric application that FINRA is using to deliver qualification exams online, on company-issued equipment. During these hour-long sessions, presenters will share resources and take questions from attendees.

Note: These webinars are intended for Information Technology staff with firms that plan to pursue remote testing on company-issued equipment.

2019061881501 Dawn Hare CRD 2654713 AWC va (2020-1597277972982).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061881501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawn Hare, Respondent Former General Securities Representative and General Securities Principal CRD No. 2654713 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dawn Hare submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2017053655601 Cowen and Company LLC CRD 7616 AWC sl (2020-1597018766198).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053655601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cowen and Company LLC, Respondent Broker-Dealer CRD No. 7616 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Cowen and Company LLC (the “firm”) 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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