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Registered Employee Benefits Professional (REBP)

Designation Essentials
Status	Status cannot be verified. Issuing organization appears to be defunct.
Designation Notes	Designation previously issued by Designation Depot
Issuing Organization
Qualification and Training Requirements
Prerequisites
Designation Training Requirements
Designation Exam Type
Continuing Education Requirements
Verification and Complaints
Online Designation Resource
Investor Complaint Process
Published List of Disciplined Designees

Technical Notice
OTC Transparency Data Issue
May 13, 2019

Currently, in the Tier 1 5/13/19 weekly report, there is ATS data that is unattributed (that is, there is no ATS name associated with one line of data found in the ATS Data tab). See below:

OTC Transparency Data Issue

FINRA is currently investigating the issue and will publish another Technical Notice once the issue has been resolved.

District 9 - Philadelphia - Half-Day Compliance Bootcamp

September 17, 2019
9 a.m. - 1 p.m.

Delta Hotels by Marriott Baltimore Inner Harbor
1 E Redwood St.
Baltimore, MD 21202
(410) 234-8950

Phone-in Workshops

Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’ compliance programs—they also raise new challenges and regulatory implications for firms to consider.