An investment adviser is an individual or company who is paid for providing advice about securities to their clients. The term investment adviser refers to an individual or company that is registered as such with either the Securities and Exchange Commission or a state securities regulator.
This intensive five-day course takes place at Georgetown University's McDonough School of Business in Washington, DC. Taught by Georgetown University business and law school professors, industry professionals, and regulators, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.
James Gonedes served two combat tours in Iraq as a Marine. While there, he formed many enduring bonds and friendships, including with fellow Marine Clayton Cohn. So when Clayton started working as an investment adviser in Chicago after their discharge, James gladly invested in his hedge fund business. He eventually gave Cohn almost $400,000—money James had inherited from his late father.
GUIDANCEDeletion of Obsolete RulesEffective Date: August 10, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementObsolete RulesRule 3400 SeriesExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of an amendment to delete as obsolete IM-2210-4(b) (Certification of Membership) and Rule
FINRA Revises Portfolio Margining Risk Disclosure Statement and Written Acknowledgment for Customers Using Portfolio Margin Accounts
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is publishing for comment an amendment to Schedule E to the NASD By-Laws that would exempt a qualified independent underwriter from the pricing requirements of Section
Thank you, Bill [Press], and good morning, everyone. It's great to be here with you.
After your firm files SEC Form Funding Portal, you will need access to FINRA systems to file FINRA forms such as the Form FP-NMA as well as access to the Funding Portal Registration Depository (FPRD) and other related systems.FINRA Entitlement Reference GuideFINRA Entitlement Program Frequently Asked QuestionsFINRA Entitlement ProgramThe FINRA Entitlement Program provides a secure way for your
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
