Enhanced U4 Webinar
Learn about the improved U4 online filing experience that will become available later this year in FINRA Gateway and FinPro.
FINRA Gateway Webinar
Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.
FinPro Webinar
Learn about the benefits of using Financial Professional Gateway (FinPro), a platform of growing tools for registered individuals, to streamline firm compliance work processes.
17-02126(1).pdf
Modified
2017056520301 MML Investors Services, LLC CRD 10409 AWC jlg (2020-1587341969059).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056520301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MML Investors Services, LLC, Respondent Member Firm CRD No. 10409 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent MML Investors Services, LLC ("MML" 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. This AWC is
2015046601401 Citigroup Global Markets Inc. CRD 7059 AWC jlg (2020-1587341968882).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046601401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citigroup Global Markets Inc., Respondent Member Firm CRD No. 7059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citigroup Global Markets Inc. ("Respondent" 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. This AWC