Have you thought about serving on a FINRA Committee? 📺 Watch what committee members have to say about the benefits of joining, including surprising positive outcomes that they've been able to experience through their service. Learn more ▶️ https://bit.ly/4efggrq
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Are you ready for FINRA 4210? Read our guide https://lnkd.in/eGVu4Hgk. Learn how firms are avoiding unnecessary costs and complying with the amendment with automated margin call workflows.
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Curious about FINRA committees? Industry and non-industry professionals can join FINRA's various committees to lend their unique perspectives, experiences and expertise. 📺 Watch below to discover more about their important work. Learn more️ ▶️ https://bit.ly/4efggrq
Lend Your Experience to a FINRA Committee | finra.org
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FINRA’s Committees are a great way to engage with FINRA Staff and network with other industry professionals. Hear more from current and former committee members in this short video!
Curious about FINRA committees? Industry and non-industry professionals can join FINRA's various committees to lend their unique perspectives, experiences and expertise. 📺 Watch below to discover more about their important work. Learn more️ ▶️ https://bit.ly/4efggrq
Lend Your Experience to a FINRA Committee | finra.org
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Check out FINRA’s Member Firm Hub: get the latest Notices, guidance and essential resources—in a single place for member firms. Learn more ▶️ https://bit.ly/3KQlMDy
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Check out FINRA’s Member Firm Hub: get the latest Notices, guidance and essential resources—in a single place for member firms. Learn more ▶️ https://bit.ly/3KQlMDy
Member Firm Hub | FINRA.org
finra.org
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DFR is thrilled to share the FINRA 101 Video Series. Be #MoneySmart! https://ow.ly/fM0o50QxryI
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Great resource for Firms. FINRA resources in a single place makes life much easier us all in the day to day compliance battle. #finra #compliance #regulatorycompliance #dashboard #resources #compliancemanagement #complianceregulations #complianceresources #complianceofficer #complianceofficers #cco #compliancesolutions #complianceservices #complianceexcellence #rrmp
Check out FINRA’s Member Firm Hub: get the latest Notices, guidance and essential resources—in a single place for member firms. Learn more ▶️ https://bit.ly/3KQlMDy
Member Firm Hub | FINRA.org
finra.org
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🎒 Let’s dive into this cool update about the SEC and some rule changes they’ve made. So, you know, the SEC is like the boss that makes sure everything is fair and square in the world of buying and selling company stuff (also known as securities). Now, imagine you’re a superhero team, and one of the members is FINRA. They’re like the official group that watches over the brokers and dealers who help with buying and selling stuff. But some of these broker-dealer folks had a special rule that let them do their thing without joining FINRA, and that rule was as old as your grandparent’s flip phone! 📞 Guess what? The SEC realized that some of these brokers were doing a ton of business, like billions of dollars’ worth, and not really following all the rules. So, they decided to change things up a bit. They’re making sure that more of these brokers join FINRA, so they can keep a closer eye on them and make sure everyone’s playing by the rules. It’s like if your superhero team had a new rule that said all members need to show up to meetings so they know what’s going on. This new rule will start in about 60 days from when it’s officially announced, and everyone has to follow it within a year from that announcement. So, long story short, the SEC is making sure that the brokers and dealers in the buying and selling world have a better way of being watched over, like superheroes watching out for each other! 🦸♂️🦸♀️
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DFR is thrilled to share the FINRA 101 Video Series. Be #MoneySmart! https://ow.ly/fM0o50QxryI
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Head of Risk at Lincoln Financial Network
2wI highly recommend-Its a great privilege and wonderful way to be in the loop on the latest industry issues