Virtual Registration Systems Foundation Training

Are you a compliance professional looking to become more familiar with licensing and registration functionality in FINRA Gateway and related systems? If so, this training is for you. Join FINRA staff for two half-day training sessions and learn more about navigating the system tools relevant to your work.

Attendance is limited to firm compliance professionals who have been granted access by their firm to registration functionality within FINRA systems.

Fast Account Switching Webinar

Join FINRA staff Tuesday, Aug. 15 for a 30-minute webinar about the new Fast Account Switching capability. During the webinar, FINRA will discuss the new functionality, demonstrate how it works in the live system, and answer questions submitted by attendees before and during the event. Space is limited; please register early. 

2022075872401 Lucy Yi Lin CRD 7449972 AWC lp (2023-1694305204554).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075872401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lucy Yi Lin (Respondent) Former Associated Person CRD No. 7449972 Pursuant to FINRA Rule 9216, Respondent Lucy Yi Lin 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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