Your First Step to a Career in the Securities IndustryOn This PageOverviewEnrollment OptionsContent OutlineBenefitsAfter You Pass the SIESIE Reimbursement for Military VeteransOverviewThe Securities Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry
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FINRA/Nasdaq TRFSchedule D - OfficersChuck Mack, PresidentErika Moore, SecretaryDana Laidhold, TreasurerMarc Samuel, Assistant Treasurer Tushar Mehta, Assistant TreasurerAmy Kohn, Vice PresidentSchedule E - DirectorsChris StoneChuck MackJohn ZeccaFINRA/NYSE TRFSchedule D - OfficersDoug Foley, Senior Vice President, HR & AdministrationWarren Gardiner, Senior Vice
Utilize this checklist to determine if a private residence from which an associated person engages in supervisory functions meets the residential supervisory location (RSL) eligibility requirements and conditions.
Net CapitalLiquidity Risk ManagementSegregation of Assets and Customer ProtectionPrevious:Extended Hours TradingUp:Financial ManagementNext:Net Capital
The Cybersecurity and Cyber-Enabled Fraud topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Anti-Money Laundering, Fraud and Sanctions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Outside Business Activities and Private Securities Transactions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Member Firms' Nexus to Crypto topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Manipulative Trading topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
