WebApr 11, 2024 · Sterling Trading Tech Launches Calculation Service for FINRA Member Firms to Comply with Enhanced Portfolio Margin Reporting Requirements Published: … Web23 hours ago · By Melanie Waddell. The Financial Industry Regulatory Authority is warning about an increase in phishing scams, which often start with an email, text or encrypted …
Finra Re-Files Remote Inspection Pilot Proposal With SEC - Twitter
WebMar 9, 2024 · Firm Also Failed to Maintain Supervisory System, Report Customer Complaints. WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify … WebFINRA Executives. Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory ... nwsl free agents
FINRA on Twitter: "Need help keeping track of #compliance …
WebMar 29, 2024 · FINRA has an overall rating of 4.1 out of 5, based on over 953 reviews left anonymously by employees. 88% of employees would recommend working at FINRA to a friend and 82% have a positive outlook for the business. This rating has decreased by -3% over the last 12 months. Web1 day ago · Can I customize my experience in FINRA Gateway? What browsers does it support? Who should I contact if I need help navigating? Have questions about FINRA Gateway? Web2024 FINRA Statement in Support. 34-94013-finra-statement-support.pdf (681.54 KB). STAY CONNECTED 1 Twitter 2 Facebook 3 RSS 4 YouTube 6 LinkedIn 8 Email Updates nwsl founded