Summary
FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council) enhancing the continuing education requirements for securities industry professionals.1 The proposal would change the: (1) Regulatory Element to provide annual training, make the content more relevant, incorporate diverse instructional
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Life happens. Sometimes in the most jarring, unexpected ways that can impact your work life and your livelihood. And when it does, you want to work for a company with empathetic leadership, that has genuine concern for employees, and a culture of caring and adaptability.
Hi, I’m Sarah. In March 2020, I experienced firsthand, and at the highest level, that FINRA is that kind
TO: All NASD Members and NASDAQ Level 2 and 3 Subscribers
On February 8, 1983, 100 additional NASDAQ securities will enter the NASDAQ National Market System (NMS). As a result, real-time trade reporting will be required in these securities commencing on that date.
Of these securities, 50 met the Tier 1 criteria as stated in SEC Rule HAa2-l as of the December 31, 1982, qualification date and,
I am writing to request that FINRA reform their short-sale and FTD reporting to the highest enforcement standards possible. Specifically, I am concerned that FINRA's current blindness with regard to alternate formations of short interest through "married puts" and arranged financing leads to unquantifiable systemic risk which can then be rolled over indefinitely with low borrow
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose of this Notice is to encourage employees of member firms and other interested parties with diverse skills, backgrounds,
This Rule prescribes requirements regarding the continuing education of registered persons. The requirements shall consist of a Regulatory Element and a Firm Element as set forth below. This Rule also sets forth continuing education programs through which specified persons may maintain their qualification in a representative or principal registration category following the termination of that
To prepare for a life of moves, you need to know what to expect both before and after a move.
The following are former funding portal members of FINRA.Amplify Funding, LLCSEC File No.: 7-222330 E Liberty StAnn Arbor, MI 48104Avonto, LLCSEC File No.: 7-802435 E. North Street, Ste. 1108-178Greenville, SC 29615Bananafina LLC.SEC File No.: 7-2351065 NE 125th Street, Suite 300North Miami, FL 33161BaseNote LLCSEC File No.: 7-315340 S Lemon Avenue, #9290Walnut, CA 91789Bioverge Portal, LLCSEC
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in
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As of November 29, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
MMG.GA
Metromedia Int'l Group
9.875
3/15/97
MMG.GB
Metromedia Int'l Group
10.000
10/1/99
