FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss Regulatory Notice 24-02 which includes Residential Supervisory Location and the Remote Inspections Pilot ProgramSpeakers:Robert Cook, FINRA President and Chief Executive OfficerEric Chandler, Vice President, Member SupervisionKosha Dalal, Vice President
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the intersection of cybersecurity, fraud and financial crimes. Staff will also highlight resources, tools and tips for mitigating risk in this area.Speakers:Robert Cook, FINRA President and Chief Executive OfficerBrita Bayatmakou, Vice President, Cyber
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the intersection of cybersecurity, fraud and financial crimes. Staff will also highlight resources, tools and tips for mitigating risk in this area.Speakers:Robert Cook, FINRA President and Chief Executive OfficerSarah Kwak, Associate General
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
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
What does it mean for something to be tax-advantaged, pre-tax or tax-deferred? Learn how these terms apply to different benefits and investments, including retirement accounts and health care benefits, and how to maximize your tax savings.
A través de el Programa de Quejas, FINRA investiga quejas contra firmas de corretaje y sus empleados. FINRA está empoderada para tomar medidas disciplinarias contra los corredores y sus empresas. Las sanciones pueden incluir multas, suspensiones, exclusión de la industria de valores u otras sanciones apropiadas.
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Un número gratuito al que pueden llamar los inversionistas mayores de edad para obtener asistencia de FINRA o plantear inquietudes sobre problemas con cuentas de corretaje e inversiones.
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