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:
|
| Designation Training Requirements | Three online, self-study courses |
| Designation Exam Type | Closed-book, proctored final course exams |
| Continuing Education Requirements |
|
| 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 NoticeFINRA 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.