Certified Regulatory and Compliance Professional (CRCP) designees are required to complete 12 hours of continuing education (CE) every three years as of their certificate anniversary award date. Now, you can choose your CRCP CE credits from a wide variety of convenient educational formats, including FINRA developed conferences, e-learning and classroom learning courses, online workshops and webcasts.
Summary
Many investment companies provide sales charge discounts and waivers on their products for customers in certain circumstances described in their product offering documents (e.g., prospectuses or statements of additional information). These include volume-based discounts, such as breakpoints and waivers, on mutual fund exchanges. Failure to apply these discounts or waivers correctly may
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt supplementary material .18 (Remote Inspections Pilot Program) under FINRA Rule 3110 (Supervision).
This filing has been withdrawn.
Changes in individual stock prices can be due to a specific company or industry event. But major changes in leading U.S. indexes can indicate a wider shift in investor sentiment, which might be driven by broader trends in the domestic or global economy. These changes that can be revealed by economic indicators reported on a periodic basis.
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Municipal
Syndicate
Trading
Training
Executive Summary
On November 10, 1994, the Securities and Exchange Commission (SEC) adopted amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 (Act) that prohibit broker/dealers from underwriting and recommending municipal securities for which
Mr. Rindell is Vice President of Learning, Talent and Organizational Development at FINRA, with responsibility for FINRA’s training and development programs.Prior to joining FINRA, Mr. Rindell led enterprise leadership development and executive coaching at Cigna and played a key role in enhancing performance management, advancing enterprise leadership development and revamping Cigna's
Would you please stay out of the investment world with more regulations. I dont know of anything that the Government has gotten involved in and made it better.
This program has been working fine without outside input, if it aint broke dont fix it.
Dear FINRA,
Public investments should be available to all of the public not just the privileged. I should be able to choose the public investments that are right for me and my family.
I have done my own research and are well capable of understanding leveraged and inverse funds and their risks.
I shouldn't have to go through any special process like passing a test before I can invest in
The Anti-Money Laundering (AML) Compliance Program section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
