2015045677201 TD Ameritrade, Inc. CRD 7870 AWC jlg (2020-1580343565764).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045677201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TD Ameritrade, Inc., Respondent Member Firm CRD No. 7870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent TD Ameritrade, Inc. (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

2016050948101 Oppenheimer & Co. Inc. CRD 249 AWC jlg (2020-1580343566036).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050948101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Oppenheimer & Co. Inc. ("Oppenheimer" or 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.

Wealth Management Certified Professional

Wealth Management Certified Professional (WMCP)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization The American College of Financial Services
Qualification and Training Requirements
Prerequisites

Candidates must have:

  • one year of relevant business experience within the five years preceding the date of the award; and
  • a high school diploma or the equivalent.
Designation Training Requirements

Three online, self-study courses
Designation Exam Type

Closed-book, proctored final course exams
Continuing Education Requirements
  • Client-facing designees: 30 hours every two years, including one hour of ethics CE
  • Non-client-facing designees: one hour of ethics CE every two years
Verification and Complaints
Online Designation Resource

Online at YourAdvisorGuide.com
Investor Complaint Process

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

None

Technical Notice

FINRA NTF System Availability

January 03, 2020

The FINRA Test Facility (NTF) is currently unavailable for testing all FINRA Multi Product Platform (MPP) products. This affects FINRA's Trade Reporting and Compliance Engine (TRACE), FINRA's Trade Reporting Facility (TRF) platform, and the OTC Reporting Facility (ORF).  Please note, because of this event any data entered into NTF this morning will be unavailable once the system has been restored. 

FINRA's production systems are unaffected by this event. FINRA will send an updated notice once the issue is resolved.

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