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Background
Input from our stakeholders indicated that they would welcome greater transparency regarding FINRA's budget, especially its financial projections and potential use of fines. FINRA for many years has published an Annual Financial Report that is prepared and audited in accordance with GAAP6 that describes the prior year's finances and operations. In the interest of promoting
(a) No person associated with a member ("employer member") shall, without the prior written consent of the member, open or otherwise establish at a member other than the employer member ("executing member"), or at any other financial institution, any account in which securities transactions can be effected and in which the associated person has a beneficial interest.(b) Any
Information for CandidatesEligibilityCandidate Information in FINDInformation UseAutomatically Opted OutFees for CandidatesContactsInformation for Broker-Dealer FirmsInformation for Candidates^ Back to topEligibility1. Am I automatically signed up for FIND?No, you must actively opt in to FIND.2. I did not opt in to FIND when I enrolled for the exam. Can I still opt in?Yes, you may still opt in
