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     1  +1 2014 oct 02mutual fund analysisMutual Fund Analyzer - finraThe Fund Analyzer offers information and analysis on over 18,000 mutual funds , Exchange Traded Funds (ETFs) and Exchange Traded Notes (ETNs). This tool ...
     1  +9 2014 sep 30private promissory note investorsInvestor Alert - Promissory Notes Can Be Less Than Promised - FINRAScams involving promissory notes rob investors of tens of millions of ... of businesses including one that produced personal finance-related ...
     1  +7 2014 sep 30account application formNew Account Application Template - FINRAThe New Account Application Template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their ...
     1  +2 2014 sep 28series 24Series 24 - finraThe FINRA General Securities Principal Qualification Examination ( Series 24 ) is ... There are also sample Series 24 test questions written in the various formats.
     1  +5 2014 sep 23unsettled liabilities on proprietary tradingSEA Rule 15c3-1 - finraThe net capital requirement is increased by one percent of accrued liabilities that are
     1  +1 2014 sep 21broker finderBrokerCheck: Research Brokers & Investment Advisers - FINRAResearch brokers , brokerage firms, investment advisers & investment adviser firms with this free tool.
     1  ~ 2014 sep 18finraFINRA - Home PageFINRA is the largest independent securities regulator in the U.S. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets. BrokerCheckFINRA BrokerCheck® - Research Brokers, Brokerage Firms
     1  ~ 2014 sep 18broker checkBrokerCheck : Research Brokers & Investment Advisers - FINRABrokerCheck is a free tool to help investors research the professional backgrounds of brokerage firms and brokers currently or formerly registered with FINRA or ...
     1  ~ 2014 sep 16finra bar coded cardCRD - Fingerprint Cards Frequently Asked Questions (FAQ) - FINRAShould the firm indicate on a fingerprint card that a SS# has been requested but not yet issued? Where does the barcode sticker go if a card needs one?
     1  ~ 2014 sep 15finra broker checkBrokerCheck is a free tool to help investors research the professional backgrounds of brokerage firms and brokers currently or formerly registered with FINRA or ...
     1  ~ 2014 sep 06web crdWeb CRD System Links - FINRAProvided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
     1  +1 2014 sep 05compare mutual fundsThe Fund Analyzer offers information and analysis on over 18,000 mutual funds , ... You can compare up to three funds from your Selected Funds list at a time.
     1  +100 2014 sep 03william george rowett jrWILLIAM GEORGE ROWETT JR (1516086) - FINRA BrokerCheckWILLIAM GEORGE ROWETT JR is currently employed by CENTAURUS FINANCIAL, INC. (30833) and has information available on FINRA BrokerCheck.
     1  +4 2014 sep 01advertising compliance review documentAdvertising Regulation Frequently Asked Questions (FAQ) - FINRAFrequently asked questions related to advertising regulation.
     1  +6 2014 sep 01league reit reviewPublic Non-Traded REITs —Perform a Careful Review Before ... - finraPublic Non-Traded REITs —Perform a Careful Review Before Investing. During extended period of low interest rates, investors often seek products offering more  ...
     1  ~ 2014 aug 28finra arbitration lawyerHow to Find an Attorney - FINRAFind an Attorney or Other Legal Representation. You should consider hiring an attorney to represent you during the arbitration or mediation proceedings to ...
     1  +24 2014 aug 25day trade with meDay Trading Margin Requirements: Know the Rules - FINRAThe required minimum equity must be in the account prior to any day - trading activities. If the account falls below the $25,000 requirement, the pattern day trader ...
     1  +4 2014 aug 24money laundering regulationsAML - Anti Money Laundering - FINRAThis page provides information about anti- money laundering (AML) rules, regulations , and compliance. ‎Anti Money Laundering FAQ - ‎(AML) Template for Small Firms
     1  +1 2014 aug 23education industry webinarWebinars - FINRACompliance Education Delivered Directly to Your Desktop ... Webinars include panel discussions with FINRA staff and/or industry experts, and feature online ...
     1  ~ 2014 aug 22finra compliance certification trainingCertified Regulatory and Compliance Professional" (CRCP ... - finraCertified Regulatory and Compliance Professional (CRCP) Program Scholarship ... The program includes two non-consecutive weeklong residential courses , ...
     1  ~ 2014 aug 22trace rss feedTRACE - FINRAThe Trade Reporting and Compliance Engine is the FINRA developed vehicle that facilitates the mandatory reporting of over the counter secondary market ... ‎Corporate Bond Data - ‎Structured Product Activity ... - ‎Documentation - ‎Trace faq
     1  +1 2014 aug 21finra compliance certificationFINRA Institute at Wharton - FINRAFINRA Institute at Wharton. Certified Regulatory and Compliance ProfessionalTM (CRCP) Program. The FINRA Institute at Wharton CRCPTM program—which is ... ‎CRCP Small Firm Scholarship - ‎CRCP Alumni Information - ‎Week I: Foundation
     1  +6 2014 aug 17business continuity plan exampleSmall Firm Business Continuity Plan Template - FINRASmall Introducing Firm Business Continuity Planning Template . FINRA is providing a template as an optional guide to small introducing firms to assist them in ...
     1  +1 2014 aug 15profitable hyip strategyInvestor Alert - HYIPs —High Yield Investment Programs Are Others tout “winning” HYIP investment strategies or provide a forum for trading tips on how to profit from HYIPs , even those suspected to be ...
     1  ~ 2014 aug 12portal in crowdfundingCrowdfunding Portals - FINRAPending adoption of SEC and FINRA rules under the JOBS Act, FINRA invites prospective funding portal members to voluntarily file an interim funding portal  ...
     1  ~ 2014 aug 12day trading rulesDay Trading Margin Requirements: Know the Rules . We issued this investor guidance to provide some basic information about day trading margin requirements ...
     1  +1 2014 aug 12non traded reit fraudInvestor Alert - Public Non - Traded REITs —Perform a Careful ... - finraPublic Non - Traded REITs —Perform a Careful Review Before Investing. During extended period of low interest rates, investors often seek products offering more  ...
     1  ~ 2014 aug 11finra simplified case checklistSimplified Case Checklist - finraPage 1 of 11. FINRA Dispute Resolution. Updated April 28, 2014. Simplified Case Checklist . Case Number. Case Name. 1. Please indicate the nature of the ...
     1  +1 2014 aug 11investment with hyipsHigh-yield investment programs ( HYIPs ) are unregistered investments created and touted by unlicensed individuals. Typically offered through ...
     1  ~ 2014 aug 08background check financial advisorResearch brokers, brokerage firms, investment advisers & investment ... tool to help investors research the professional backgrounds of brokerage firms and ... FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
     1  ~ 2014 aug 08continental broker dealer corpNASD Expels Continental Broker - Dealer Corp . for Sales Practice Washington, D.C.—NASD announced today that Continental Broker - Dealer Corp . of Carle Place, NY has been expelled from the securities industry for a wide ...
     1  +1 2014 aug 07taslima khanom khukuTASLIMA KHANOM KHUKU (5639988) - Broker - FINRA BrokerCheckTASLIMA KHANOM KHUKU has information available on FINRA BrokerCheck. BrokerCheck provides information on current and former FINRA-registered ...
     1  +1 2014 aug 06mediator and arbitrator trainingArbitrator Training - FINRARequired Basic Arbitrator Training Before being eligible to serve on cases, arbitrators must successfully complete this Basic Arbitrator Training Program.
     1  +1 2014 aug 06create a new drpDuplicate Disclosure Interpretive Guidance - FAQ - FINRARather than amending the existing DRP to report any updated details, a firm creates and files a new ("initial") DRP when the same DRP source and event type  ...
     1  ~ 2014 aug 05judgements on finra recordsAbout BrokerCheck Reports - FINRAdisputes, disciplinary events and financial matters on the broker's record . ... violation, and which resulted in an award or civil judgment against the broker.
     1  ~ 2014 aug 03status investment brokerBrokerCheck information is drawn from filings by regulators, firms and investment professionals. It includes current licensing status and history, employment ...
     1  ~ 2014 aug 02day and day tradingWe are issuing this investor guidance to provide some basic information about day trading margin requirements and to respond to a number of frequently asked  ...
     1  +4 2014 jul 30your money futures brokerSecurity Futures —Know Your Risks, or Risk Your Future - FINRAFederal regulations permit trading in futures contracts on single stocks (also ..... The regulatory protections for your funds in a brokerage firm's failure will vary ...
     1  ~ 2014 jul 29accrued interest calculatorAccrued Interest Calculator – FINRAAccrued Interest Calculator ... Annual Interest Rate. Days In Holding Period ... Your use of this Calculator signifies your agreement to the Terms and Conditions.
     1  +5 2014 jul 28loans against stocksInvestor Alert - Stock -Based Loan Programs: What Investors Need to As recent FINRA enforcement actions confirm, stock -based loan ... low-risk opportunity to “borrow” against their stock portfolios through a ...
     1  ~ 2014 jul 28ira rmd calculatorRequired Minimum Distribution Calculator – FINRARequired Minimum Distribution Calculator ... Your use of this Calculator signifies your agreement to the Terms and Conditions.
     1  ~ 2014 jul 22financial industry regulatory authority
     1  ~ 2014 jul 22nontraded reit fraudInvestor Alert - Public Non-Traded REITs —Perform a Careful ... - finra
     1  ~ 2014 jul 22my broker deal
     1  ~ 2014 jul 21initiation mediation niceInitiate a Mediation - FINRAInitiate a Mediation . This is the first step of the mediation process. When one party expresses an interest in mediation , FINRA will contact the other parties to ...
     1  ~ 2014 jul 20finra security licenseFINRA Registration and Examination Requirements - FINRAThis page provides information about registration and examination requirements administered by FINRA to registered representatives and ...
     1  +1 2014 jul 19mutual funds i fa
     1  +1 2014 jul 19day trading accountThe required minimum equity must be in the account prior to any day - trading activities. If the account falls below the $25,000 requirement, the pattern day trader  ...
     1  ~ 2014 jul 18finra new rulesFINRA Rules - FINRAAs the new FINRA Rules are approved and become effective, the rules in the Transitional Rulebook that address the same subject matter of regulation will be ... ‎FINRA's Rulebook ... - ‎Rule Filings - ‎Guidance - ‎Rule Conversion Charts
     1  ~ 2014 jul 18finra day trading
     1  +1 2014 jul 16secured corporate bondsSmart Bond Investing—Types of Bonds: Corporate Bonds - FINRACompanies issue corporate bonds (or corporates) to raise money for capital ... Secured corporate bonds are backed by collateral that the issuer may sell to ...
     1  +5 2014 jul 16hack email by attachInvestor Alert - Email Hack Attack ? Be Sure to Notify Brokerage - finraAnyone who has experienced an email account intrusion or “ hacking ” knows how frustrating it can be to deal with the aftermath—from telling ...
     2  ~ 2014 oct 05exam centers for maitpTest Center Locations – FINRATo get a list of test centers in your area please select the state or foreign location closest to you from the list below. Select a choice below: ...
     2  +99 2014 sep 27nicole newyork phone noHow to Contact the New York Regional Office - FINRAPhone : (212) 858-4382. Fax: (301) 527-4818 ... Nicole Haynes Case Assistant ... By Phone : Main number for the New York office: (212) 858-4200. Between the ...
     2  ~ 2014 sep 27form 211 finraOTCBB Forms & Documentation - FINRAOTCBB Forms & Documentation. Form 211 (PDF 58 KB) Market Makers must complete this form to initiate or resume quotations on the OTC ...
     2  ~ 2014 sep 27anti money launderingThis page provides information about anti - money laundering ( AML ) rules, regulations, and compliance.
     2  ~ 2014 sep 23end of day patternThe rules adopt the term " pattern day trader," which includes any margin customer that ... based on a customer's securities positions at the end of the trading day .
     2  ~ 2014 sep 19luldLimit Up/Limit Down ( LULD ) - FINRAThe Plan provides for a market-wide limit up and limit down ( LULD ) mechanism to prevent trades in NMS stocks from occurring outside of specified price bands, ...
     2  +1 2014 sep 15savings calculatorSavings Calculator – FINRAUse our savings calculator to see how a consistent approach to investing can make your money grow. Whether saving for a house, a car, or other special ...
     2  -1 2014 sep 11what is finraFINRA is the largest independent securities regulator in the U.S. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets. ‎Industry Professionals - ‎Careers - ‎Login - ‎Investors
     2  +4 2014 aug 31rule of communicationRule 2210 - finracommunication that is distributed or made available to 25 or fewer retail investors ... communications as described in NASD Rule 2711(a)(9)(A); and (iii) other.
     2  ~ 2014 aug 31day trader rulesThe rules adopt the term "pattern day trader ," which includes any margin customer that day trades (buys then sells or sells short then buys the same security on ...
     2  ~ 2014 aug 31mutual fund comparisonThe Fund Analyzer offers information and analysis on over 18,000 mutual funds, ... You can compare up to three funds from your Selected Funds list at a time.
     2  ~ 2014 aug 31required minimum distributionsUse this calculator to determine your Required Minimum Distribution (RMD) from a traditional 401(k) or IRA. In general, you must begin withdrawing money by ...
     2  ~ 2014 aug 29required minimum distribution
     2  +4 2014 aug 29business continuity plan template
     2  -1 2014 aug 27future few securities limitedSecurity futures are among the potentially riskiest financial products
     2  -1 2014 aug 22calculator for accrued interest
     2  +1 2014 aug 21variable annuity fraudInvestor Alert - Variable Annuities : Beyond the Hard Sell - FINRAVariable Annuities : Beyond the Hard Sell. The marketing efforts used by some variable annuity sellers deserve scrutiny—especially when ...
     2  +8 2014 aug 19penson penny stocksFINRA Fines Firms $750,000 for Inadequate Anti-Money Laundering Penson Financial Services Fined $450,000 for Inadequate Review of ... FINRA also found that Penson failed to regularly review penny stock  ...
     2  -1 2014 aug 19finra social mediaSpot-Check of Social Media Communications - FINRATargeted Examination Letters. June 2013. Re: Spot-Check of Social Media Communications. FINRA Rule 2210(c)(6) states that each FINRA firm's written ...
     2  ~ 2014 aug 19finra compliance guideCompliance - FINRAFINRA employs advanced technology to monitor the markets and the activities of regulated firms. Our systems help firms and individuals comply with applicable ... ‎Qualifications & Exams - ‎Compliance Exams - ‎Registration - ‎Regulatory Filings
     2  -1 2014 aug 18financial investment informationInvestor Information - Investors - FINRALearn about investing ; protect yourself from investment fraud and scams; reseach the ... Military Spouses Receive Fellowships to Conduct Financial Counseling.
     2  ~ 2014 aug 18shopping around for creditShopping Around for Financial Products - FINRAWhether your goal is to purchase products for saving and investing or to tap a new line of credit , shopping around for financial products makes good sense— and ...
     2  +5 2014 aug 16promissory note buyersThe alert details the risks associated with promissory notes and the ... to carry out its promise to pay interest and principal to note buyers .
     2  -1 2014 aug 15state registration registered repFINRA Guide for Registered Representatives - FINRAThe Registered Representatives Brochure is a reference for current and previously registered representatives . The brochure outlines the registration process, ...
     2  ~ 2014 aug 15pattern day trader ruleThe rules adopt the term " pattern day trader ," which includes any margin customer that day trades (buys then sells or sells short then buys the same security on ...
     2  +1 2014 aug 13college fund calculatorCollege Savings Calculator – FINRACollege Savings Calculator . Inputs. Annual College Costs. Current Savings. Years Until Enrollment. Annual Return. Number of Years Enrolled. Inflation Rate.
     2  ~ 2014 aug 12pattern day trader
     2  +2 2014 aug 10daily short listAugust 2014 Reg SHO Daily Files - finraAugust 2014 Reg SHO Daily Files. Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data ...
     2  +1 2014 aug 07credit score range effectsHow Your Credit Score Impacts Your Financial Future - FINRAScores range from approximately 300 to 850. When it comes to locking in an interest rate, the higher your score , the better the terms of credit you are likely to ...
     2  ~ 2014 aug 05impact of credit scoresDeciding to buy a big ticket item and securing the credit to pay for it tend to go hand in hand. Did you know that your credit score is one of the key factors that ...
     2  -1 2014 aug 05call centers that investorsInvestor Alert - Customer Advisory Centers : Not Your Typical ... - finraSome firms, especially discount brokers, utilize call centers to accommodate self- directed investors . Generally, such call centers respond to ...
     2  ~ 2014 aug 05certified personal finance counselorCertified Personal Finance Counselor - finraCertified Personal Finance Counselor (CPFC). Designation Essentials. Status, Currently offered and recognized by the issuing organization. Issuing ...
     2  +1 2014 aug 03buy college accountsSmart Saving for College —Better Buy Degrees - FINRAinvest for college . You can make a college education an affordable choice for you or your child. ... to save for college . Coverdell Education Savings Accounts
     2  ~ 2014 aug 02day trading pattern
     2  ~ 2014 jul 31anti money laundringThis page provides information about anti - money laundering ( AML ) rules, regulations, and compliance. ‎Anti Money Laundering FAQ - ‎(AML) Template for Small Firms
     2  ~ 2014 jul 31private placement memorandum requirementsPrivate Placement Frequently Asked Questions (FAQ) - FINRAWhat are the disclosure requirements for private placements in Rule 5123? ... sell the private placement, which can include the private placement memorandum , ...
     2  ~ 2014 jul 31an an amlAnti Money Laundering FAQ - FINRAWhat is an AML Compliance Program required to have? The Bank Secrecy Act, among other things, requires financial institutions, including broker-dealers, ...
     2  -1 2014 jul 29equity index annuitiesInvestor Alert - Equity - Indexed Annuities —A Complex Choice - FINRASales of equity - indexed annuities (EIAs) have grown considerably in recent years . Although one insurance company includes the word.
     2  ~ 2014 jul 28becoming a broker dealerHow to Become a Member - Qualifications and Examinations - FINRAAll non-bank broker - dealers registered with the SEC that conduct their principal business within the United States, its territories or possessions must become  ...
     2  ~ 2014 jul 28equity indexed annuities
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