Displaying 41 - 50 of 8994 Results
A one-stop source for connecting firms with vendors that specialize in compliance-related offerings
Transparency Services Legal Agreements
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, April 26, 2024. Production systems are unaffected by this event. NTF will become available again for all products starting April 29, 2024. Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Thursday April 18, 2024, from 2 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting April 19, 2024. Please contact FINRA Product Management or call (866) 899-2107 with questions
This panel focuses on education and awareness about key developments in the digital assets market, including exploring issues related to broker-dealer’s involvement in the digital assets market and developments concerning DeFi and stablecoins. Join FINRA panelists and industry experts as they discuss these complex investments products and consider both the potential benefits and risks they present.
This session is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA Advertising Regulation Department experts provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials.
The AG position is the designation used in Form U4 as part of the CRD® Program to identify a person who has been approved to sell securities in a particular jurisdiction. Many states require qualification by examination for this position; however, the qualification requirements vary between jurisdictions. The North American Securities Administrators Association (NASAA), after consultation with
Required information, personal items allowed and test-center provided aids for Pearson VUE and Thomson Prometric test sites.
FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.