- published: 16 Jul 2013
- views: 5105
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In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders will help broker/dealers and financial advisors implement the new FINRA rules. They will discuss important new provisions of the new FINRA consolidated supervision rules and discuss best practices.
Key topics include:
Supervision of Multiple OSJs (New FINRA Rules 3110)
New FINRA Rules 3120 (Supervisory Control System)
Holding Customer Mail (New FINRA Rules 3150 )
New FINRA Rules 3170 (Tape Recording of Registered Persons by Certain Firms)
And a lot more!
To view the webcast go to this link:
http://www.slideshare.net/The_Knowledge_Group/finra-supervision-rules-what-you-need-to-know-in-2015-live-webcast
To learn more about the webcast please visit our website: http://theknowledgegroup.org/
- published: 27 Oct 2014
- views: 673
We discuss how common stocks are created, the rights and terms that describe common stock such as preemptive rights, cumulative voting, and various terms that must be understood in order to pass the FINRA Series 7 Examination.
Subscribe to the podcast in iTunes by searching for: Series 7 Podcast
Be sure to sign up for your free study outline. at http://www.series7podcast.com
After listening to this episode you should understand the following concepts:
How a stock created.
What is the difference between part, and no par stock.
What are rights issues
What are the terms associated with a rights offer.
What are the formulas used to calculate the value of a right.
What is a registrar.
What is a transfer agent.
What do the stockholder records show and when do you have a right to inspect the stockholder records
What is authorized stock.
What is issued stock.
What is treasury stock
Is treasury stock used in the calculation of earnings per share?
What are physical and book entry certificates.
What is statutory voting.
What is cumulative voting.
What are proxies.
What are the corporate distribution procedures.
Declaration date
Record date
Payable date
preemptive rights
What are the various stockholder rights, including
The right corporate distributions.
Preemptive rights.
Right Corporate assets upon dissolution.
Right to inspect records and books.
Right to vote
Items that require a stockholder vote
- published: 05 Jan 2013
- views: 10018
Learn more about running financial services on AWS: http://amzn.to/1RKz0jf
Learn more about big data analysis on AWS: http://amzn.to/1TTuBK1
By migrating to AWS, FINRA—the Financial Industry Regulatory Authority—has created a flexible platform that can adapt to changing market dynamics while providing its analysts with the tools to interactively query multi-petabyte data sets. FINRA, one of the largest independent securities regulators in the United States, was established to monitor and regulate financial trading practices. To respond to rapidly changing market dynamics, FINRA moved about 75 percent of its operations to Amazon Web Services, using AWS to capture, analyze, and store a daily influx of 75 billion records. The company estimates it will save up to $20 million annually by using AWS instead of a physical data center infrastructure.
- published: 15 Jan 2016
- views: 309
Financial Industry Regulatory Authority (FINRA) was established to watch and regulate financial trading practices. Challenged by steadily increasing market volumes, evolving exchanges, and changing regulatory rules, the company turned to AWS to build a flexible platform that could adapt to varying market dynamics. Now FINRA can easily analyze 30 billion market events every day while estimating cost savings of between $10 and $20 million annually.
To learn more about how AWS can help support your big data needs, please visit: https://aws.amazon.com/big-data/.
- published: 17 Jul 2014
- views: 6061
During this webinar, regulatory legal experts Brian L. Rubin and Jaliya Faulkner from Sutherland Asbill & Brennan LLP join Jimmy Douglas, Director of Alliances and Industry Relations at Smarsh, to discuss key information about FINRA and regulatory compliance that impacts your firm’s management of electronic communications.
- published: 01 Aug 2014
- views: 311
Attorney Joel Beck of The Beck Law Firm, LLC discusses the basics of compliance with FINRA Rule 3240, dealing with borrowing from, or lending to, clients.
This is for educational and informational purposes only, and is not legal advice for your specific situation. Find more informative videos on our YouTube channel, as well as our blog at www.bdlawblog.com.
Information as of July 10, 2014.
The Beck Law Firm, LLC
Lawrenceville, GA
www.thebeckfirm.com
- published: 10 Jul 2014
- views: 328
Wiley publishes the absolute best FINRA Exam Prep Materials for the following exams:
Series 3 Exam
Series 4 Exam
Series 6 exam
Series 7 exam
Series 9 Exam
Series 10 Exam
Series 24 Exam
Series 26 Exam
Series 55 Exam
Series 62 Exam
Series 63 Exam
Series 65 Exam
Series 66 exam
Series 99 exam
Visit us on the web at securitiesce.com or call 877 218 1776
- published: 11 Dec 2014
- views: 758
FINRA (Financial Industry Regulatory Authority) is a nongovernmental organization that regulates stock brokers and operates the largest arbitration organization in the United States for the resolution of disputes between customers and member firms. You likely signed an arbitration agreement when you opened your investment account. To file a FINRA claim against your investment advisor, you should consult an experienced attorney.
- published: 11 Aug 2014
- views: 293
http://www.yourstocklawyer.com FINRA Arbitration Lawyer
In this video, Attorney Gregory Tendrich discusses The FINRA arbitration process.
You can also check out my other video discussing preparing a defense against a promissory note claim: https://www.youtube.com/watch?v=WhfcgwcSW18
You can also check out my other stockbroker promissory note defenses video here: https://www.youtube.com/watch?v=M-r5JMeG5S4
Contact us today to learn more about types of defenses in a FINRA arbitration process.
Gregory Tendrich, P.A.
4651 N Federal Hwy
Boca Raton, FL 33431
(561) 327-7782
- published: 04 Aug 2014
- views: 63
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1:53FINRA: Our Story
FINRA: Our Story -
120:06FINRA Supervision Rules: What You Need to Know in 2015 LIVE Webcast
FINRA Supervision Rules: What You Need to Know in 2015 LIVE WebcastFINRA Supervision Rules: What You Need to Know in 2015 LIVE Webcast
In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders will help broker/dealers and financial advisors implement the new FINRA rules. They will discuss important new provisions of the new FINRA consolidated supervision rules and discuss best practices. Key topics include: Supervision of Multiple OSJs (New FINRA Rules 3110) New FINRA Rules 3120 (Supervisory Control System) Holding Customer Mail (New FINRA Rules 3150 ) New FINRA Rules 3170 (Tape Recording of Registered Persons by Certain Firms) And a lot more! To view the webcast go to this link: http://www.slideshare.net/The_Knowledge_Group/finra-supervision-rules-what-you-need-to-know-in-2015-live-webcast To learn more about the webcast please visit our website: http://theknowledgegroup.org/ -
4:23FINRA Rules, Social Tools, and SEC Fools
FINRA Rules, Social Tools, and SEC FoolsFINRA Rules, Social Tools, and SEC Fools
This week, Alex leads off with FINRA’s Naughty List. Also being discussed is the recent FINRA proposal that firms strengthen their background investigations, LinkedIn’s new archiving tool, and the SECs attempt to crackdown on corporate anti-whistleblower policies. -
10:19Series 7 Training for The FINRA Exam Episode 1 Common Stocks
Series 7 Training for The FINRA Exam Episode 1 Common StocksSeries 7 Training for The FINRA Exam Episode 1 Common Stocks
We discuss how common stocks are created, the rights and terms that describe common stock such as preemptive rights, cumulative voting, and various terms that must be understood in order to pass the FINRA Series 7 Examination. Subscribe to the podcast in iTunes by searching for: Series 7 Podcast Be sure to sign up for your free study outline. at http://www.series7podcast.com After listening to this episode you should understand the following concepts: How a stock created. What is the difference between part, and no par stock. What are rights issues What are the terms associated with a rights offer. What are the formulas used to calculate the value of a right. What is a registrar. What is a transfer agent. What do the stockholder records show and when do you have a right to inspect the stockholder records What is authorized stock. What is issued stock. What is treasury stock Is treasury stock used in the calculation of earnings per share? What are physical and book entry certificates. What is statutory voting. What is cumulative voting. What are proxies. What are the corporate distribution procedures. Declaration date Record date Payable date preemptive rights What are the various stockholder rights, including The right corporate distributions. Preemptive rights. Right Corporate assets upon dissolution. Right to inspect records and books. Right to vote Items that require a stockholder vote -
3:42FINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWS
FINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWSFINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWS
Learn more about running financial services on AWS: http://amzn.to/1RKz0jf Learn more about big data analysis on AWS: http://amzn.to/1TTuBK1 By migrating to AWS, FINRA—the Financial Industry Regulatory Authority—has created a flexible platform that can adapt to changing market dynamics while providing its analysts with the tools to interactively query multi-petabyte data sets. FINRA, one of the largest independent securities regulators in the United States, was established to monitor and regulate financial trading practices. To respond to rapidly changing market dynamics, FINRA moved about 75 percent of its operations to Amazon Web Services, using AWS to capture, analyze, and store a daily influx of 75 billion records. The company estimates it will save up to $20 million annually by using AWS instead of a physical data center infrastructure. -
4:06FINRA Uses AWS to Analyze 30 Billion Financial Market Events Every Day
FINRA Uses AWS to Analyze 30 Billion Financial Market Events Every DayFINRA Uses AWS to Analyze 30 Billion Financial Market Events Every Day
Financial Industry Regulatory Authority (FINRA) was established to watch and regulate financial trading practices. Challenged by steadily increasing market volumes, evolving exchanges, and changing regulatory rules, the company turned to AWS to build a flexible platform that could adapt to varying market dynamics. Now FINRA can easily analyze 30 billion market events every day while estimating cost savings of between $10 and $20 million annually. To learn more about how AWS can help support your big data needs, please visit: https://aws.amazon.com/big-data/. -
49:08FINRA Compliance: Retaining and Supervising Electronic Communications for Regulatory Compliance
FINRA Compliance: Retaining and Supervising Electronic Communications for Regulatory ComplianceFINRA Compliance: Retaining and Supervising Electronic Communications for Regulatory Compliance
During this webinar, regulatory legal experts Brian L. Rubin and Jaliya Faulkner from Sutherland Asbill & Brennan LLP join Jimmy Douglas, Director of Alliances and Industry Relations at Smarsh, to discuss key information about FINRA and regulatory compliance that impacts your firm’s management of electronic communications. -
4:52Basics of Compliance with FINRA Rule 3240
Basics of Compliance with FINRA Rule 3240Basics of Compliance with FINRA Rule 3240
Attorney Joel Beck of The Beck Law Firm, LLC discusses the basics of compliance with FINRA Rule 3240, dealing with borrowing from, or lending to, clients. This is for educational and informational purposes only, and is not legal advice for your specific situation. Find more informative videos on our YouTube channel, as well as our blog at www.bdlawblog.com. Information as of July 10, 2014. The Beck Law Firm, LLC Lawrenceville, GA www.thebeckfirm.com -
3:49FINRA Exam Prep
FINRA Exam PrepFINRA Exam Prep
Wiley publishes the absolute best FINRA Exam Prep Materials for the following exams: Series 3 Exam Series 4 Exam Series 6 exam Series 7 exam Series 9 Exam Series 10 Exam Series 24 Exam Series 26 Exam Series 55 Exam Series 62 Exam Series 63 Exam Series 65 Exam Series 66 exam Series 99 exam Visit us on the web at securitiesce.com or call 877 218 1776 -
1:22Working at FINRA
Working at FINRA -
1:39FINRA
FINRAFINRA
FINRA (Financial Industry Regulatory Authority) is a nongovernmental organization that regulates stock brokers and operates the largest arbitration organization in the United States for the resolution of disputes between customers and member firms. You likely signed an arbitration agreement when you opened your investment account. To file a FINRA claim against your investment advisor, you should consult an experienced attorney. -
8:26FINRA Arbitration Lawyer - Arbitration Claims Process
FINRA Arbitration Lawyer - Arbitration Claims ProcessFINRA Arbitration Lawyer - Arbitration Claims Process
http://www.yourstocklawyer.com FINRA Arbitration Lawyer In this video, Attorney Gregory Tendrich discusses The FINRA arbitration process. You can also check out my other video discussing preparing a defense against a promissory note claim: https://www.youtube.com/watch?v=WhfcgwcSW18 You can also check out my other stockbroker promissory note defenses video here: https://www.youtube.com/watch?v=M-r5JMeG5S4 Contact us today to learn more about types of defenses in a FINRA arbitration process. Gregory Tendrich, P.A. 4651 N Federal Hwy Boca Raton, FL 33431 (561) 327-7782 -
0:55How FINRA Works
How FINRA WorksHow FINRA Works
If you were defrauded by your stock broker or financial advisor and they worked for a firm that is a FINRA member then you can bring a lawsuit before FINRA. The Financial Industry Regulatory Authority is a securities arbitration forum that allows investors to pursue claims against their broker. If you believe you have a claim call Soreide Law Group today to begin the process of recovering your financial losses. Soreide Law Group represents investors before FINRA in ALL 50 states. -
2:53FINRA Series 7 Online Class Preview from Kaplan
FINRA Series 7 Online Class Preview from KaplanFINRA Series 7 Online Class Preview from Kaplan
Preview Kaplan Financial Education's OnDemand course for the Series 7 exam. Kaplan's state of the art recording facility helps to keep students engaged while giving industry leading instructors access to a wide variety of technologies. Use these OnDemand courses along with Kaplan's other online tools (Qbank, InstructorLink, and Practice Exams) and experience the best study solution on the market. Learn more at www.kfeducation.com or call 1-800-824-8742.
-
-
FINRA Supervision Rules: What You Need to Know in 2015 LIVE Webcast
In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders will help broker/dealers and financial advisors implement the new FINRA rules. They will discuss important new provisions of the new FINRA consolidated supervision rules and discuss best practices. Key topics include: Supervision of Multiple OSJs (New FINRA Rules 3110) New FINRA Rules 3120 (Supervisory Control System) Holding Customer Mail (New FINRA Rules 3150 ) New FINRA Rules 3170 (Tape Recording of Registered Persons by Certain Firms) And a lot more! To view the webcast go to this link: http://www.slideshare.net/The_Knowledge_Group/finra-supervision-rules-what-you-need-to-know-in-2015-live-webcast To learn more about the webcast please visit our website: http://theknowledgegroup.org/ -
FINRA Rules, Social Tools, and SEC Fools
This week, Alex leads off with FINRA’s Naughty List. Also being discussed is the recent FINRA proposal that firms strengthen their background investigations, LinkedIn’s new archiving tool, and the SECs attempt to crackdown on corporate anti-whistleblower policies. -
Series 7 Training for The FINRA Exam Episode 1 Common Stocks
We discuss how common stocks are created, the rights and terms that describe common stock such as preemptive rights, cumulative voting, and various terms that must be understood in order to pass the FINRA Series 7 Examination. Subscribe to the podcast in iTunes by searching for: Series 7 Podcast Be sure to sign up for your free study outline. at http://www.series7podcast.com After listening to this episode you should understand the following concepts: How a stock created. What is the difference between part, and no par stock. What are rights issues What are the terms associated with a rights offer. What are the formulas used to calculate the value of a right. What is a registrar. What is a transfer agent. What do the stockholder records show and when do you have a right to inspec... -
FINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWS
Learn more about running financial services on AWS: http://amzn.to/1RKz0jf Learn more about big data analysis on AWS: http://amzn.to/1TTuBK1 By migrating to AWS, FINRA—the Financial Industry Regulatory Authority—has created a flexible platform that can adapt to changing market dynamics while providing its analysts with the tools to interactively query multi-petabyte data sets. FINRA, one of the largest independent securities regulators in the United States, was established to monitor and regulate financial trading practices. To respond to rapidly changing market dynamics, FINRA moved about 75 percent of its operations to Amazon Web Services, using AWS to capture, analyze, and store a daily influx of 75 billion records. The company estimates it will save up to $20 million annually by using... -
FINRA Uses AWS to Analyze 30 Billion Financial Market Events Every Day
Financial Industry Regulatory Authority (FINRA) was established to watch and regulate financial trading practices. Challenged by steadily increasing market volumes, evolving exchanges, and changing regulatory rules, the company turned to AWS to build a flexible platform that could adapt to varying market dynamics. Now FINRA can easily analyze 30 billion market events every day while estimating cost savings of between $10 and $20 million annually. To learn more about how AWS can help support your big data needs, please visit: https://aws.amazon.com/big-data/. -
FINRA Compliance: Retaining and Supervising Electronic Communications for Regulatory Compliance
During this webinar, regulatory legal experts Brian L. Rubin and Jaliya Faulkner from Sutherland Asbill & Brennan LLP join Jimmy Douglas, Director of Alliances and Industry Relations at Smarsh, to discuss key information about FINRA and regulatory compliance that impacts your firm’s management of electronic communications. -
Basics of Compliance with FINRA Rule 3240
Attorney Joel Beck of The Beck Law Firm, LLC discusses the basics of compliance with FINRA Rule 3240, dealing with borrowing from, or lending to, clients. This is for educational and informational purposes only, and is not legal advice for your specific situation. Find more informative videos on our YouTube channel, as well as our blog at www.bdlawblog.com. Information as of July 10, 2014. The Beck Law Firm, LLC Lawrenceville, GA www.thebeckfirm.com -
FINRA Exam Prep
Wiley publishes the absolute best FINRA Exam Prep Materials for the following exams: Series 3 Exam Series 4 Exam Series 6 exam Series 7 exam Series 9 Exam Series 10 Exam Series 24 Exam Series 26 Exam Series 55 Exam Series 62 Exam Series 63 Exam Series 65 Exam Series 66 exam Series 99 exam Visit us on the web at securitiesce.com or call 877 218 1776 -
-
FINRA
FINRA (Financial Industry Regulatory Authority) is a nongovernmental organization that regulates stock brokers and operates the largest arbitration organization in the United States for the resolution of disputes between customers and member firms. You likely signed an arbitration agreement when you opened your investment account. To file a FINRA claim against your investment advisor, you should consult an experienced attorney. -
FINRA Arbitration Lawyer - Arbitration Claims Process
http://www.yourstocklawyer.com FINRA Arbitration Lawyer In this video, Attorney Gregory Tendrich discusses The FINRA arbitration process. You can also check out my other video discussing preparing a defense against a promissory note claim: https://www.youtube.com/watch?v=WhfcgwcSW18 You can also check out my other stockbroker promissory note defenses video here: https://www.youtube.com/watch?v=M-r5JMeG5S4 Contact us today to learn more about types of defenses in a FINRA arbitration process. Gregory Tendrich, P.A. 4651 N Federal Hwy Boca Raton, FL 33431 (561) 327-7782 -
How FINRA Works
If you were defrauded by your stock broker or financial advisor and they worked for a firm that is a FINRA member then you can bring a lawsuit before FINRA. The Financial Industry Regulatory Authority is a securities arbitration forum that allows investors to pursue claims against their broker. If you believe you have a claim call Soreide Law Group today to begin the process of recovering your financial losses. Soreide Law Group represents investors before FINRA in ALL 50 states. -
FINRA Series 7 Online Class Preview from Kaplan
Preview Kaplan Financial Education's OnDemand course for the Series 7 exam. Kaplan's state of the art recording facility helps to keep students engaged while giving industry leading instructors access to a wide variety of technologies. Use these OnDemand courses along with Kaplan's other online tools (Qbank, InstructorLink, and Practice Exams) and experience the best study solution on the market. Learn more at www.kfeducation.com or call 1-800-824-8742. -
What is FINRA?
Dale Ledbetter, Ledbetter & Associates, PA, (754) 227-6455. Florida Securities Fraud Law FAQs: http://thelaw.tv/broward/Securities+Fraud+Law Disclaimer: http://thelaw.tv/broward/About/disclaimer -
What is FINRA (The Financial Industry Regulatory Authority)?
Welcome to the Investors Trading Academy talking glossary of financial terms and events. Our word of the day is “FINRA - The Financial Industry Regulatory Authority” The Financial Industry Regulatory Authority referred to as FINRA oversees all securities licensing procedures and requirements for the United States. This self-regulatory organization administers many of the exams that must be passed to become a licensed financial professional. It also performs all relevant disciplinary and record-keeping functions. The Financial Industry Regulatory Authority is a regulatory body created after the merger of the National Association of Securities Dealers and the New York Stock Exchange's regulation committee. The Financial Industry Regulatory Authority is responsible for governing business bet... -
CRC-TV Episode 2 FINRA 2016 Examination Priorities
In this episode of CRC-TV, Mitch Avnet and Elin Cherry discuss the following major compliance themes from FINRA’s recently published 2016 Exam Priorities: · Focus on Ethics · Code of Conduct and Testing · Data Quality · Cyber Response · Data Warehouses – “Garbage in / Garbage out” · Monitoring and Surveillance · CRC’s Blog Check out CRC’s recent blog and publication: CRC Decodes FINRA’s 2016 Regulatory and Examinations Letter For You: http://goo.gl/vMWcAf Production and editing by Dillon Avnet. -
FINRA Exam Priorities of 2012
This week Alex sits with Aaron Thompson to discuss the FINRA Exam Priorities of 2012, based upon the speech given by Susan Axelrod of Sales Practice Enforcement. This speech, given at the Practicing Law Institute B/D Conference, demonstrates the progress FINRA is making on a risk-based model. This overview covers the 2012 initiates that have been stressed earlier in the year. This progress includes FINRA's focus on being risk-based rather than checklist oriented, the addition of the OATS transaction Data model and the successful practice of the Know Your Customer and Suitability Rules. Also noted is a snapshot of the next twenty months. Some things to keep front of mind are the leveraging of complex products, cyber security, conflicts of interest and the pitfalls of cutting costs. Aaron al... -
Фрагмент вебинара - Регуляторы FINRA и NFA
В этом фрагменте вебинара А. Александрова пойдет речь о двух других финансовых регуляторах США - FINRA (выдает лицензии финансовым организациям, связанным с брокерской деятельностью) и NFA (защита инвесторов на рынке фьючерсов). Новый курс обучения от Xelius Group – «Торговля облигациями» - http://xelius.ru/trading-courses/courses/bonds.php «Фондовый рынок США» - новый курс обучения от Xelius Group для тех, кто всерьез намерен попробовать себя на NYSE, NASDAQ или CME. Записывайтесь по ссылке: http://xelius.ru/trading-courses/courses/america.php "Трейдинг на миллион" - ОБУЧЕНИЕ ТРЕЙДИНГУ С ГАРАНТИЕЙ от ведущих трейдеров России! 83% прошедших обучение у нас начали зарабатывать деньги. Если вы не даете результат - мы возвращаем вам деньги! Количество мест ограничено! Успейте записаться ... -
FINRA Audit Hot Buttons
This week Alex sits down with Quest CE CEO Alan Krenke to discuss the latest trends in FINRA Audits. Currently these "Hot Buttons" are overwhelming many top Brokerage Firms. Hot Buttons include Branch Audit Inspections and Electronic Communications such as Social Media Compliance. -
Pattern Day Trading Rule - FINRA Rule 2520 Day Trading
http://www.stockmarketfunding.com/Trading/Open-an-Account The next lesson in my free video stock trading course which covers the implications of the pattern day Pattern Day Trader Rule - FINRA Rule 2520 Day Trading Rule. Learn about buying power and trading for accounts less than $25,000. -
June 22: Markets, Goldman Sachs, George Bush, FINRA rules
Schiff Report Video Blog June 22, 2009 Please no calls to FINRA, Even well intentioned calls will likely make the situation worse. also check me out on http://www.facebook.com/schiffreport and http://www.twitter.com/schiffreport -
FINRA Fraude Financiero (Investment Fraud)
Evite el fraude en inversiones financieras El fraude financiero es real y puede llegar a ser devastador. Afortunadamente, en cada comunidad hay individuos en posición de proveer ayuda tangible a las víctimas. Para asistirles, la Autoridad Reguladora de la Industria Financiera (FINRA, por sus siglas en ingles), la Fundación de Educación del Inversionista y el Centro Nacional para Victimas del Crimen se unieron para desarrollar “Tomando Acción: Una guía que aboga para ayudar a las víctimas de fraude financiero”.
FINRA: Our Story
- Order: Reorder
- Duration: 1:53
- Updated: 16 Jul 2013
- views: 5105
FINRA Supervision Rules: What You Need to Know in 2015 LIVE Webcast
- Order: Reorder
- Duration: 120:06
- Updated: 27 Oct 2014
- views: 673
In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders will help broker/dealers and financial advisors implement the new FINR...
In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders will help broker/dealers and financial advisors implement the new FINRA rules. They will discuss important new provisions of the new FINRA consolidated supervision rules and discuss best practices.
Key topics include:
Supervision of Multiple OSJs (New FINRA Rules 3110)
New FINRA Rules 3120 (Supervisory Control System)
Holding Customer Mail (New FINRA Rules 3150 )
New FINRA Rules 3170 (Tape Recording of Registered Persons by Certain Firms)
And a lot more!
To view the webcast go to this link:
http://www.slideshare.net/The_Knowledge_Group/finra-supervision-rules-what-you-need-to-know-in-2015-live-webcast
To learn more about the webcast please visit our website: http://theknowledgegroup.org/
wn.com/Finra Supervision Rules What You Need To Know In 2015 Live Webcast
In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders will help broker/dealers and financial advisors implement the new FINRA rules. They will discuss important new provisions of the new FINRA consolidated supervision rules and discuss best practices.
Key topics include:
Supervision of Multiple OSJs (New FINRA Rules 3110)
New FINRA Rules 3120 (Supervisory Control System)
Holding Customer Mail (New FINRA Rules 3150 )
New FINRA Rules 3170 (Tape Recording of Registered Persons by Certain Firms)
And a lot more!
To view the webcast go to this link:
http://www.slideshare.net/The_Knowledge_Group/finra-supervision-rules-what-you-need-to-know-in-2015-live-webcast
To learn more about the webcast please visit our website: http://theknowledgegroup.org/
- published: 27 Oct 2014
- views: 673
FINRA Rules, Social Tools, and SEC Fools
- Order: Reorder
- Duration: 4:23
- Updated: 04 Nov 2014
- views: 284
This week, Alex leads off with FINRA’s Naughty List. Also being discussed is the recent FINRA proposal that firms strengthen their background investigations, Li...
This week, Alex leads off with FINRA’s Naughty List. Also being discussed is the recent FINRA proposal that firms strengthen their background investigations, LinkedIn’s new archiving tool, and the SECs attempt to crackdown on corporate anti-whistleblower policies.
wn.com/Finra Rules, Social Tools, And Sec Fools
Series 7 Training for The FINRA Exam Episode 1 Common Stocks
- Order: Reorder
- Duration: 10:19
- Updated: 05 Jan 2013
- views: 10018
We discuss how common stocks are created, the rights and terms that describe common stock such as preemptive rights, cumulative voting, and various terms that m...
We discuss how common stocks are created, the rights and terms that describe common stock such as preemptive rights, cumulative voting, and various terms that must be understood in order to pass the FINRA Series 7 Examination.
Subscribe to the podcast in iTunes by searching for: Series 7 Podcast
Be sure to sign up for your free study outline. at http://www.series7podcast.com
After listening to this episode you should understand the following concepts:
How a stock created.
What is the difference between part, and no par stock.
What are rights issues
What are the terms associated with a rights offer.
What are the formulas used to calculate the value of a right.
What is a registrar.
What is a transfer agent.
What do the stockholder records show and when do you have a right to inspect the stockholder records
What is authorized stock.
What is issued stock.
What is treasury stock
Is treasury stock used in the calculation of earnings per share?
What are physical and book entry certificates.
What is statutory voting.
What is cumulative voting.
What are proxies.
What are the corporate distribution procedures.
Declaration date
Record date
Payable date
preemptive rights
What are the various stockholder rights, including
The right corporate distributions.
Preemptive rights.
Right Corporate assets upon dissolution.
Right to inspect records and books.
Right to vote
Items that require a stockholder vote
wn.com/Series 7 Training For The Finra Exam Episode 1 Common Stocks
We discuss how common stocks are created, the rights and terms that describe common stock such as preemptive rights, cumulative voting, and various terms that must be understood in order to pass the FINRA Series 7 Examination.
Subscribe to the podcast in iTunes by searching for: Series 7 Podcast
Be sure to sign up for your free study outline. at http://www.series7podcast.com
After listening to this episode you should understand the following concepts:
How a stock created.
What is the difference between part, and no par stock.
What are rights issues
What are the terms associated with a rights offer.
What are the formulas used to calculate the value of a right.
What is a registrar.
What is a transfer agent.
What do the stockholder records show and when do you have a right to inspect the stockholder records
What is authorized stock.
What is issued stock.
What is treasury stock
Is treasury stock used in the calculation of earnings per share?
What are physical and book entry certificates.
What is statutory voting.
What is cumulative voting.
What are proxies.
What are the corporate distribution procedures.
Declaration date
Record date
Payable date
preemptive rights
What are the various stockholder rights, including
The right corporate distributions.
Preemptive rights.
Right Corporate assets upon dissolution.
Right to inspect records and books.
Right to vote
Items that require a stockholder vote
- published: 05 Jan 2013
- views: 10018
FINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWS
- Order: Reorder
- Duration: 3:42
- Updated: 15 Jan 2016
- views: 309
Learn more about running financial services on AWS: http://amzn.to/1RKz0jf
Learn more about big data analysis on AWS: http://amzn.to/1TTuBK1
By migrating to AW...
Learn more about running financial services on AWS: http://amzn.to/1RKz0jf
Learn more about big data analysis on AWS: http://amzn.to/1TTuBK1
By migrating to AWS, FINRA—the Financial Industry Regulatory Authority—has created a flexible platform that can adapt to changing market dynamics while providing its analysts with the tools to interactively query multi-petabyte data sets. FINRA, one of the largest independent securities regulators in the United States, was established to monitor and regulate financial trading practices. To respond to rapidly changing market dynamics, FINRA moved about 75 percent of its operations to Amazon Web Services, using AWS to capture, analyze, and store a daily influx of 75 billion records. The company estimates it will save up to $20 million annually by using AWS instead of a physical data center infrastructure.
wn.com/Finra Collects, Analyzes Billions Of Brokerage Transaction Records Daily Using Aws
Learn more about running financial services on AWS: http://amzn.to/1RKz0jf
Learn more about big data analysis on AWS: http://amzn.to/1TTuBK1
By migrating to AWS, FINRA—the Financial Industry Regulatory Authority—has created a flexible platform that can adapt to changing market dynamics while providing its analysts with the tools to interactively query multi-petabyte data sets. FINRA, one of the largest independent securities regulators in the United States, was established to monitor and regulate financial trading practices. To respond to rapidly changing market dynamics, FINRA moved about 75 percent of its operations to Amazon Web Services, using AWS to capture, analyze, and store a daily influx of 75 billion records. The company estimates it will save up to $20 million annually by using AWS instead of a physical data center infrastructure.
- published: 15 Jan 2016
- views: 309
FINRA Uses AWS to Analyze 30 Billion Financial Market Events Every Day
- Order: Reorder
- Duration: 4:06
- Updated: 17 Jul 2014
- views: 6061
Financial Industry Regulatory Authority (FINRA) was established to watch and regulate financial trading practices. Challenged by steadily increasing market volu...
Financial Industry Regulatory Authority (FINRA) was established to watch and regulate financial trading practices. Challenged by steadily increasing market volumes, evolving exchanges, and changing regulatory rules, the company turned to AWS to build a flexible platform that could adapt to varying market dynamics. Now FINRA can easily analyze 30 billion market events every day while estimating cost savings of between $10 and $20 million annually.
To learn more about how AWS can help support your big data needs, please visit: https://aws.amazon.com/big-data/.
wn.com/Finra Uses Aws To Analyze 30 Billion Financial Market Events Every Day
Financial Industry Regulatory Authority (FINRA) was established to watch and regulate financial trading practices. Challenged by steadily increasing market volumes, evolving exchanges, and changing regulatory rules, the company turned to AWS to build a flexible platform that could adapt to varying market dynamics. Now FINRA can easily analyze 30 billion market events every day while estimating cost savings of between $10 and $20 million annually.
To learn more about how AWS can help support your big data needs, please visit: https://aws.amazon.com/big-data/.
- published: 17 Jul 2014
- views: 6061
FINRA Compliance: Retaining and Supervising Electronic Communications for Regulatory Compliance
- Order: Reorder
- Duration: 49:08
- Updated: 01 Aug 2014
- views: 311
During this webinar, regulatory legal experts Brian L. Rubin and Jaliya Faulkner from Sutherland Asbill & Brennan LLP join Jimmy Douglas, Director of Alliances ...
During this webinar, regulatory legal experts Brian L. Rubin and Jaliya Faulkner from Sutherland Asbill & Brennan LLP join Jimmy Douglas, Director of Alliances and Industry Relations at Smarsh, to discuss key information about FINRA and regulatory compliance that impacts your firm’s management of electronic communications.
wn.com/Finra Compliance Retaining And Supervising Electronic Communications For Regulatory Compliance
During this webinar, regulatory legal experts Brian L. Rubin and Jaliya Faulkner from Sutherland Asbill & Brennan LLP join Jimmy Douglas, Director of Alliances and Industry Relations at Smarsh, to discuss key information about FINRA and regulatory compliance that impacts your firm’s management of electronic communications.
- published: 01 Aug 2014
- views: 311
Basics of Compliance with FINRA Rule 3240
- Order: Reorder
- Duration: 4:52
- Updated: 10 Jul 2014
- views: 328
Attorney Joel Beck of The Beck Law Firm, LLC discusses the basics of compliance with FINRA Rule 3240, dealing with borrowing from, or lending to, clients.
T...
Attorney Joel Beck of The Beck Law Firm, LLC discusses the basics of compliance with FINRA Rule 3240, dealing with borrowing from, or lending to, clients.
This is for educational and informational purposes only, and is not legal advice for your specific situation. Find more informative videos on our YouTube channel, as well as our blog at www.bdlawblog.com.
Information as of July 10, 2014.
The Beck Law Firm, LLC
Lawrenceville, GA
www.thebeckfirm.com
wn.com/Basics Of Compliance With Finra Rule 3240
Attorney Joel Beck of The Beck Law Firm, LLC discusses the basics of compliance with FINRA Rule 3240, dealing with borrowing from, or lending to, clients.
This is for educational and informational purposes only, and is not legal advice for your specific situation. Find more informative videos on our YouTube channel, as well as our blog at www.bdlawblog.com.
Information as of July 10, 2014.
The Beck Law Firm, LLC
Lawrenceville, GA
www.thebeckfirm.com
- published: 10 Jul 2014
- views: 328
FINRA Exam Prep
- Order: Reorder
- Duration: 3:49
- Updated: 11 Dec 2014
- views: 758
Wiley publishes the absolute best FINRA Exam Prep Materials for the following exams:
Series 3 Exam
Series 4 Exam
Series 6 exam
Series 7 exam
Series 9 Exam
...
Wiley publishes the absolute best FINRA Exam Prep Materials for the following exams:
Series 3 Exam
Series 4 Exam
Series 6 exam
Series 7 exam
Series 9 Exam
Series 10 Exam
Series 24 Exam
Series 26 Exam
Series 55 Exam
Series 62 Exam
Series 63 Exam
Series 65 Exam
Series 66 exam
Series 99 exam
Visit us on the web at securitiesce.com or call 877 218 1776
wn.com/Finra Exam Prep
Wiley publishes the absolute best FINRA Exam Prep Materials for the following exams:
Series 3 Exam
Series 4 Exam
Series 6 exam
Series 7 exam
Series 9 Exam
Series 10 Exam
Series 24 Exam
Series 26 Exam
Series 55 Exam
Series 62 Exam
Series 63 Exam
Series 65 Exam
Series 66 exam
Series 99 exam
Visit us on the web at securitiesce.com or call 877 218 1776
- published: 11 Dec 2014
- views: 758
Working at FINRA
- Order: Reorder
- Duration: 1:22
- Updated: 29 Aug 2013
- views: 773
FINRA
- Order: Reorder
- Duration: 1:39
- Updated: 11 Aug 2014
- views: 293
FINRA (Financial Industry Regulatory Authority) is a nongovernmental organization that regulates stock brokers and operates the largest arbitration organization...
FINRA (Financial Industry Regulatory Authority) is a nongovernmental organization that regulates stock brokers and operates the largest arbitration organization in the United States for the resolution of disputes between customers and member firms. You likely signed an arbitration agreement when you opened your investment account. To file a FINRA claim against your investment advisor, you should consult an experienced attorney.
wn.com/Finra
FINRA (Financial Industry Regulatory Authority) is a nongovernmental organization that regulates stock brokers and operates the largest arbitration organization in the United States for the resolution of disputes between customers and member firms. You likely signed an arbitration agreement when you opened your investment account. To file a FINRA claim against your investment advisor, you should consult an experienced attorney.
- published: 11 Aug 2014
- views: 293
FINRA Arbitration Lawyer - Arbitration Claims Process
- Order: Reorder
- Duration: 8:26
- Updated: 04 Aug 2014
- views: 63
http://www.yourstocklawyer.com FINRA Arbitration Lawyer
In this video, Attorney Gregory Tendrich discusses The FINRA arbitration process.
You can also check ...
http://www.yourstocklawyer.com FINRA Arbitration Lawyer
In this video, Attorney Gregory Tendrich discusses The FINRA arbitration process.
You can also check out my other video discussing preparing a defense against a promissory note claim: https://www.youtube.com/watch?v=WhfcgwcSW18
You can also check out my other stockbroker promissory note defenses video here: https://www.youtube.com/watch?v=M-r5JMeG5S4
Contact us today to learn more about types of defenses in a FINRA arbitration process.
Gregory Tendrich, P.A.
4651 N Federal Hwy
Boca Raton, FL 33431
(561) 327-7782
wn.com/Finra Arbitration Lawyer Arbitration Claims Process
http://www.yourstocklawyer.com FINRA Arbitration Lawyer
In this video, Attorney Gregory Tendrich discusses The FINRA arbitration process.
You can also check out my other video discussing preparing a defense against a promissory note claim: https://www.youtube.com/watch?v=WhfcgwcSW18
You can also check out my other stockbroker promissory note defenses video here: https://www.youtube.com/watch?v=M-r5JMeG5S4
Contact us today to learn more about types of defenses in a FINRA arbitration process.
Gregory Tendrich, P.A.
4651 N Federal Hwy
Boca Raton, FL 33431
(561) 327-7782
- published: 04 Aug 2014
- views: 63
How FINRA Works
- Order: Reorder
- Duration: 0:55
- Updated: 30 Jul 2015
- views: 480
If you were defrauded by your stock broker or financial advisor and they worked for a firm that is a FINRA member then you can bring a lawsuit before FINRA. Th...
If you were defrauded by your stock broker or financial advisor and they worked for a firm that is a FINRA member then you can bring a lawsuit before FINRA. The Financial Industry Regulatory Authority is a securities arbitration forum that allows investors to pursue claims against their broker. If you believe you have a claim call Soreide Law Group today to begin the process of recovering your financial losses. Soreide Law Group represents investors before FINRA in ALL 50 states.
wn.com/How Finra Works
If you were defrauded by your stock broker or financial advisor and they worked for a firm that is a FINRA member then you can bring a lawsuit before FINRA. The Financial Industry Regulatory Authority is a securities arbitration forum that allows investors to pursue claims against their broker. If you believe you have a claim call Soreide Law Group today to begin the process of recovering your financial losses. Soreide Law Group represents investors before FINRA in ALL 50 states.
- published: 30 Jul 2015
- views: 480
FINRA Series 7 Online Class Preview from Kaplan
- Order: Reorder
- Duration: 2:53
- Updated: 10 Sep 2012
- views: 5247
Preview Kaplan Financial Education's OnDemand course for the Series 7 exam. Kaplan's state of the art recording facility helps to keep students engaged while gi...
Preview Kaplan Financial Education's OnDemand course for the Series 7 exam. Kaplan's state of the art recording facility helps to keep students engaged while giving industry leading instructors access to a wide variety of technologies. Use these OnDemand courses along with Kaplan's other online tools (Qbank, InstructorLink, and Practice Exams) and experience the best study solution on the market.
Learn more at www.kfeducation.com or call 1-800-824-8742.
wn.com/Finra Series 7 Online Class Preview From Kaplan
Preview Kaplan Financial Education's OnDemand course for the Series 7 exam. Kaplan's state of the art recording facility helps to keep students engaged while giving industry leading instructors access to a wide variety of technologies. Use these OnDemand courses along with Kaplan's other online tools (Qbank, InstructorLink, and Practice Exams) and experience the best study solution on the market.
Learn more at www.kfeducation.com or call 1-800-824-8742.
- published: 10 Sep 2012
- views: 5247
What is FINRA?
- Order: Reorder
- Duration: 1:00
- Updated: 16 May 2013
- views: 135
Dale Ledbetter, Ledbetter & Associates, PA, (754) 227-6455. Florida Securities Fraud Law FAQs: http://thelaw.tv/broward/Securities+Fraud+Law Disclaimer: http://...
Dale Ledbetter, Ledbetter & Associates, PA, (754) 227-6455. Florida Securities Fraud Law FAQs: http://thelaw.tv/broward/Securities+Fraud+Law Disclaimer: http://thelaw.tv/broward/About/disclaimer
wn.com/What Is Finra
Dale Ledbetter, Ledbetter & Associates, PA, (754) 227-6455. Florida Securities Fraud Law FAQs: http://thelaw.tv/broward/Securities+Fraud+Law Disclaimer: http://thelaw.tv/broward/About/disclaimer
- published: 16 May 2013
- views: 135
What is FINRA (The Financial Industry Regulatory Authority)?
- Order: Reorder
- Duration: 1:24
- Updated: 11 Mar 2016
- views: 2
Welcome to the Investors Trading Academy talking glossary of financial terms and events.
Our word of the day is “FINRA - The Financial Industry Regulatory Auth...
Welcome to the Investors Trading Academy talking glossary of financial terms and events.
Our word of the day is “FINRA - The Financial Industry Regulatory Authority”
The Financial Industry Regulatory Authority referred to as FINRA oversees all securities licensing procedures and requirements for the United States. This self-regulatory organization administers many of the exams that must be passed to become a licensed financial professional. It also performs all relevant disciplinary and record-keeping functions. The Financial Industry Regulatory Authority is a regulatory body created after the merger of the National Association of Securities Dealers and the New York Stock Exchange's regulation committee. The Financial Industry Regulatory Authority is responsible for governing business between brokers, dealers and the investing public. By consolidating these two regulators, FINRA aims to eliminate regulatory overlap and cost inefficiencies.
FINRA offers several different types of licenses needed by both representatives and supervisors. Each license corresponds to a specific type of business or investment. While there are several licenses geared toward specific types of securities, there are three general licenses that the majority of representatives and advisors usually obtain.
By Barry Norman, Investors Trading Academy - ITA
wn.com/What Is Finra (The Financial Industry Regulatory Authority)
Welcome to the Investors Trading Academy talking glossary of financial terms and events.
Our word of the day is “FINRA - The Financial Industry Regulatory Authority”
The Financial Industry Regulatory Authority referred to as FINRA oversees all securities licensing procedures and requirements for the United States. This self-regulatory organization administers many of the exams that must be passed to become a licensed financial professional. It also performs all relevant disciplinary and record-keeping functions. The Financial Industry Regulatory Authority is a regulatory body created after the merger of the National Association of Securities Dealers and the New York Stock Exchange's regulation committee. The Financial Industry Regulatory Authority is responsible for governing business between brokers, dealers and the investing public. By consolidating these two regulators, FINRA aims to eliminate regulatory overlap and cost inefficiencies.
FINRA offers several different types of licenses needed by both representatives and supervisors. Each license corresponds to a specific type of business or investment. While there are several licenses geared toward specific types of securities, there are three general licenses that the majority of representatives and advisors usually obtain.
By Barry Norman, Investors Trading Academy - ITA
- published: 11 Mar 2016
- views: 2
CRC-TV Episode 2 FINRA 2016 Examination Priorities
- Order: Reorder
- Duration: 3:17
- Updated: 12 Feb 2016
- views: 6
In this episode of CRC-TV, Mitch Avnet and Elin Cherry discuss the following major compliance themes from FINRA’s recently published 2016 Exam Priorities:
· ...
In this episode of CRC-TV, Mitch Avnet and Elin Cherry discuss the following major compliance themes from FINRA’s recently published 2016 Exam Priorities:
· Focus on Ethics
· Code of Conduct and Testing
· Data Quality
· Cyber Response
· Data Warehouses – “Garbage in / Garbage out”
· Monitoring and Surveillance
· CRC’s Blog
Check out CRC’s recent blog and publication: CRC Decodes FINRA’s 2016 Regulatory and Examinations Letter For You: http://goo.gl/vMWcAf
Production and editing by Dillon Avnet.
wn.com/Crc Tv Episode 2 Finra 2016 Examination Priorities
In this episode of CRC-TV, Mitch Avnet and Elin Cherry discuss the following major compliance themes from FINRA’s recently published 2016 Exam Priorities:
· Focus on Ethics
· Code of Conduct and Testing
· Data Quality
· Cyber Response
· Data Warehouses – “Garbage in / Garbage out”
· Monitoring and Surveillance
· CRC’s Blog
Check out CRC’s recent blog and publication: CRC Decodes FINRA’s 2016 Regulatory and Examinations Letter For You: http://goo.gl/vMWcAf
Production and editing by Dillon Avnet.
- published: 12 Feb 2016
- views: 6
FINRA Exam Priorities of 2012
- Order: Reorder
- Duration: 5:59
- Updated: 15 Nov 2012
- views: 249
This week Alex sits with Aaron Thompson to discuss the FINRA Exam Priorities of 2012, based upon the speech given by Susan Axelrod of Sales Practice Enforcement...
This week Alex sits with Aaron Thompson to discuss the FINRA Exam Priorities of 2012, based upon the speech given by Susan Axelrod of Sales Practice Enforcement. This speech, given at the Practicing Law Institute B/D Conference, demonstrates the progress FINRA is making on a risk-based model. This overview covers the 2012 initiates that have been stressed earlier in the year. This progress includes FINRA's focus on being risk-based rather than checklist oriented, the addition of the OATS transaction Data model and the successful practice of the Know Your Customer and Suitability Rules. Also noted is a snapshot of the next twenty months. Some things to keep front of mind are the leveraging of complex products, cyber security, conflicts of interest and the pitfalls of cutting costs. Aaron also takes a moment to discuss IT control Best Practices.
wn.com/Finra Exam Priorities Of 2012
This week Alex sits with Aaron Thompson to discuss the FINRA Exam Priorities of 2012, based upon the speech given by Susan Axelrod of Sales Practice Enforcement. This speech, given at the Practicing Law Institute B/D Conference, demonstrates the progress FINRA is making on a risk-based model. This overview covers the 2012 initiates that have been stressed earlier in the year. This progress includes FINRA's focus on being risk-based rather than checklist oriented, the addition of the OATS transaction Data model and the successful practice of the Know Your Customer and Suitability Rules. Also noted is a snapshot of the next twenty months. Some things to keep front of mind are the leveraging of complex products, cyber security, conflicts of interest and the pitfalls of cutting costs. Aaron also takes a moment to discuss IT control Best Practices.
- published: 15 Nov 2012
- views: 249
Фрагмент вебинара - Регуляторы FINRA и NFA
- Order: Reorder
- Duration: 5:12
- Updated: 17 Oct 2014
- views: 510
В этом фрагменте вебинара А. Александрова пойдет речь о двух других финансовых регуляторах США - FINRA (выдает лицензии финансовым организациям, связанным с бро...
В этом фрагменте вебинара А. Александрова пойдет речь о двух других финансовых регуляторах США - FINRA (выдает лицензии финансовым организациям, связанным с брокерской деятельностью) и NFA (защита инвесторов на рынке фьючерсов).
Новый курс обучения от Xelius Group – «Торговля облигациями» - http://xelius.ru/trading-courses/courses/bonds.php
«Фондовый рынок США» - новый курс обучения от Xelius Group для тех, кто всерьез намерен попробовать себя на NYSE, NASDAQ или CME. Записывайтесь по ссылке: http://xelius.ru/trading-courses/courses/america.php
"Трейдинг на миллион" - ОБУЧЕНИЕ ТРЕЙДИНГУ С ГАРАНТИЕЙ от ведущих трейдеров России! 83% прошедших обучение у нас начали зарабатывать деньги.
Если вы не даете результат - мы возвращаем вам деньги! Количество мест ограничено! Успейте записаться по ссылке: http://xelius.ru/trading-courses/courses/million.php
Подпишитесь на на наш канал:
http://www.youtube.com/user/xeliusgroupinc?sub_confirmation=1
Бесплатные фишки трейдинга - смотрите здесь: http://xelius.ru/trading-courses/free/
Анонсы и записи вебинаров: http://xelius.ru/trading-courses/webinars/
Торговые роботы и роботы-помощники: http://xelius.ru/robots/
Обучающие программы: http://xelius.ru/trading-courses/
Сайт Xelius Group: http://www.xelius.ru
Xelius ВКконтакте: http://vk.com/xelius
Xelius Facebook: https://www.facebook.com/XeliusGroupInc
Xelius Twitter: https://twitter.com/xeliusgroup
Forbes о Xelius: http://www.forbes.ru/forbes/issue/2013-08/242321-robotorgovets
Xelius на ФинамФМ: http://www.youtube.com/watch?v=Quy4gzjT3ng
wn.com/Фрагмент Вебинара Регуляторы Finra И Nfa
В этом фрагменте вебинара А. Александрова пойдет речь о двух других финансовых регуляторах США - FINRA (выдает лицензии финансовым организациям, связанным с брокерской деятельностью) и NFA (защита инвесторов на рынке фьючерсов).
Новый курс обучения от Xelius Group – «Торговля облигациями» - http://xelius.ru/trading-courses/courses/bonds.php
«Фондовый рынок США» - новый курс обучения от Xelius Group для тех, кто всерьез намерен попробовать себя на NYSE, NASDAQ или CME. Записывайтесь по ссылке: http://xelius.ru/trading-courses/courses/america.php
"Трейдинг на миллион" - ОБУЧЕНИЕ ТРЕЙДИНГУ С ГАРАНТИЕЙ от ведущих трейдеров России! 83% прошедших обучение у нас начали зарабатывать деньги.
Если вы не даете результат - мы возвращаем вам деньги! Количество мест ограничено! Успейте записаться по ссылке: http://xelius.ru/trading-courses/courses/million.php
Подпишитесь на на наш канал:
http://www.youtube.com/user/xeliusgroupinc?sub_confirmation=1
Бесплатные фишки трейдинга - смотрите здесь: http://xelius.ru/trading-courses/free/
Анонсы и записи вебинаров: http://xelius.ru/trading-courses/webinars/
Торговые роботы и роботы-помощники: http://xelius.ru/robots/
Обучающие программы: http://xelius.ru/trading-courses/
Сайт Xelius Group: http://www.xelius.ru
Xelius ВКконтакте: http://vk.com/xelius
Xelius Facebook: https://www.facebook.com/XeliusGroupInc
Xelius Twitter: https://twitter.com/xeliusgroup
Forbes о Xelius: http://www.forbes.ru/forbes/issue/2013-08/242321-robotorgovets
Xelius на ФинамФМ: http://www.youtube.com/watch?v=Quy4gzjT3ng
- published: 17 Oct 2014
- views: 510
FINRA Audit Hot Buttons
- Order: Reorder
- Duration: 7:01
- Updated: 03 Oct 2012
- views: 143
This week Alex sits down with Quest CE CEO Alan Krenke to discuss the latest trends in FINRA Audits. Currently these "Hot Buttons" are overwhelming many top Bro...
This week Alex sits down with Quest CE CEO Alan Krenke to discuss the latest trends in FINRA Audits. Currently these "Hot Buttons" are overwhelming many top Brokerage Firms. Hot Buttons include Branch Audit Inspections and Electronic Communications such as Social Media Compliance.
wn.com/Finra Audit Hot Buttons
This week Alex sits down with Quest CE CEO Alan Krenke to discuss the latest trends in FINRA Audits. Currently these "Hot Buttons" are overwhelming many top Brokerage Firms. Hot Buttons include Branch Audit Inspections and Electronic Communications such as Social Media Compliance.
- published: 03 Oct 2012
- views: 143
Pattern Day Trading Rule - FINRA Rule 2520 Day Trading
- Order: Reorder
- Duration: 5:33
- Updated: 29 Sep 2013
- views: 697
http://www.stockmarketfunding.com/Trading/Open-an-Account The next lesson in my free video stock trading course which covers the implications of the pattern day...
http://www.stockmarketfunding.com/Trading/Open-an-Account The next lesson in my free video stock trading course which covers the implications of the pattern day Pattern Day Trader Rule - FINRA Rule 2520 Day Trading Rule. Learn about buying power and trading for accounts less than $25,000.
wn.com/Pattern Day Trading Rule Finra Rule 2520 Day Trading
http://www.stockmarketfunding.com/Trading/Open-an-Account The next lesson in my free video stock trading course which covers the implications of the pattern day Pattern Day Trader Rule - FINRA Rule 2520 Day Trading Rule. Learn about buying power and trading for accounts less than $25,000.
- published: 29 Sep 2013
- views: 697
June 22: Markets, Goldman Sachs, George Bush, FINRA rules
- Order: Reorder
- Duration: 10:01
- Updated: 23 Jun 2009
- views: 12016
Schiff Report Video Blog June 22, 2009 Please no calls to FINRA, Even well intentioned calls will likely make the situation worse.
also check me out on http...
Schiff Report Video Blog June 22, 2009 Please no calls to FINRA, Even well intentioned calls will likely make the situation worse.
also check me out on http://www.facebook.com/schiffreport and http://www.twitter.com/schiffreport
wn.com/June 22 Markets, Goldman Sachs, George Bush, Finra Rules
Schiff Report Video Blog June 22, 2009 Please no calls to FINRA, Even well intentioned calls will likely make the situation worse.
also check me out on http://www.facebook.com/schiffreport and http://www.twitter.com/schiffreport
- published: 23 Jun 2009
- views: 12016
FINRA Fraude Financiero (Investment Fraud)
- Order: Reorder
- Duration: 2:30
- Updated: 30 Dec 2014
- views: 80
Evite el fraude en inversiones financieras
El fraude financiero es real y puede llegar a ser devastador. Afortunadamente, en cada comunidad hay individuos en p...
Evite el fraude en inversiones financieras
El fraude financiero es real y puede llegar a ser devastador. Afortunadamente, en cada comunidad hay individuos en posición de proveer ayuda tangible a las víctimas. Para asistirles, la Autoridad Reguladora de la Industria Financiera (FINRA, por sus siglas en ingles), la Fundación de Educación del Inversionista y el Centro Nacional para Victimas del Crimen se unieron para desarrollar “Tomando Acción: Una guía que aboga para ayudar a las víctimas de fraude financiero”.
wn.com/Finra Fraude Financiero (Investment Fraud)
Evite el fraude en inversiones financieras
El fraude financiero es real y puede llegar a ser devastador. Afortunadamente, en cada comunidad hay individuos en posición de proveer ayuda tangible a las víctimas. Para asistirles, la Autoridad Reguladora de la Industria Financiera (FINRA, por sus siglas en ingles), la Fundación de Educación del Inversionista y el Centro Nacional para Victimas del Crimen se unieron para desarrollar “Tomando Acción: Una guía que aboga para ayudar a las víctimas de fraude financiero”.
- published: 30 Dec 2014
- views: 80
close fullscreen
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- Chat
close fullscreen
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1:53
FINRA: Our Story
Listen to employees tell FINRA's story.
published: 16 Jul 2013
FINRA: Our Story
FINRA: Our Story
- Report rights infringement
- published: 16 Jul 2013
- views: 5105
120:06
FINRA Supervision Rules: What You Need to Know in 2015 LIVE Webcast
In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders ...
published: 27 Oct 2014
FINRA Supervision Rules: What You Need to Know in 2015 LIVE Webcast
FINRA Supervision Rules: What You Need to Know in 2015 LIVE Webcast
- Report rights infringement
- published: 27 Oct 2014
- views: 673
4:23
FINRA Rules, Social Tools, and SEC Fools
This week, Alex leads off with FINRA’s Naughty List. Also being discussed is the recent FI...
published: 04 Nov 2014
FINRA Rules, Social Tools, and SEC Fools
FINRA Rules, Social Tools, and SEC Fools
- Report rights infringement
- published: 04 Nov 2014
- views: 284
10:19
Series 7 Training for The FINRA Exam Episode 1 Common Stocks
We discuss how common stocks are created, the rights and terms that describe common stock ...
published: 05 Jan 2013
Series 7 Training for The FINRA Exam Episode 1 Common Stocks
Series 7 Training for The FINRA Exam Episode 1 Common Stocks
- Report rights infringement
- published: 05 Jan 2013
- views: 10018
3:42
FINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWS
Learn more about running financial services on AWS: http://amzn.to/1RKz0jf
Learn more abou...
published: 15 Jan 2016
FINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWS
FINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWS
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- published: 15 Jan 2016
- views: 309
4:06
FINRA Uses AWS to Analyze 30 Billion Financial Market Events Every Day
Financial Industry Regulatory Authority (FINRA) was established to watch and regulate fina...
published: 17 Jul 2014
FINRA Uses AWS to Analyze 30 Billion Financial Market Events Every Day
FINRA Uses AWS to Analyze 30 Billion Financial Market Events Every Day
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- published: 17 Jul 2014
- views: 6061
49:08
FINRA Compliance: Retaining and Supervising Electronic Communications for Regulatory Compliance
During this webinar, regulatory legal experts Brian L. Rubin and Jaliya Faulkner from Suth...
published: 01 Aug 2014
FINRA Compliance: Retaining and Supervising Electronic Communications for Regulatory Compliance
FINRA Compliance: Retaining and Supervising Electronic Communications for Regulatory Compliance
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- published: 01 Aug 2014
- views: 311
4:52
Basics of Compliance with FINRA Rule 3240
Attorney Joel Beck of The Beck Law Firm, LLC discusses the basics of compliance with FINR...
published: 10 Jul 2014
Basics of Compliance with FINRA Rule 3240
Basics of Compliance with FINRA Rule 3240
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- published: 10 Jul 2014
- views: 328
3:49
FINRA Exam Prep
Wiley publishes the absolute best FINRA Exam Prep Materials for the following exams:
Serie...
published: 11 Dec 2014
FINRA Exam Prep
FINRA Exam Prep
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- published: 11 Dec 2014
- views: 758
1:22
Working at FINRA
Listen to employees talk about working at FINRA.
published: 29 Aug 2013
Working at FINRA
Working at FINRA
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- published: 29 Aug 2013
- views: 773
1:39
FINRA
FINRA (Financial Industry Regulatory Authority) is a nongovernmental organization that reg...
published: 11 Aug 2014
FINRA
FINRA
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- published: 11 Aug 2014
- views: 293
8:26
FINRA Arbitration Lawyer - Arbitration Claims Process
http://www.yourstocklawyer.com FINRA Arbitration Lawyer
In this video, Attorney Gregory T...
published: 04 Aug 2014
FINRA Arbitration Lawyer - Arbitration Claims Process
FINRA Arbitration Lawyer - Arbitration Claims Process
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- published: 04 Aug 2014
- views: 63
0:55
How FINRA Works
If you were defrauded by your stock broker or financial advisor and they worked for a firm...
published: 30 Jul 2015
How FINRA Works
How FINRA Works
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- published: 30 Jul 2015
- views: 480
2:53
FINRA Series 7 Online Class Preview from Kaplan
Preview Kaplan Financial Education's OnDemand course for the Series 7 exam. Kaplan's state...
published: 10 Sep 2012
FINRA Series 7 Online Class Preview from Kaplan
FINRA Series 7 Online Class Preview from Kaplan
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- published: 10 Sep 2012
- views: 5247
FINRA: Our Story...
FINRA Supervision Rules: What You Need to Know in ...
FINRA Rules, Social Tools, and SEC Fools...
Series 7 Training for The FINRA Exam Episode 1 Com...
FINRA Collects, Analyzes Billions of Brokerage Tra...
FINRA Uses AWS to Analyze 30 Billion Financial Mar...
FINRA Compliance: Retaining and Supervising Electr...
Basics of Compliance with FINRA Rule 3240...
FINRA Exam Prep...
Working at FINRA...
FINRA...
FINRA Arbitration Lawyer - Arbitration Claims Proc...
How FINRA Works...
FINRA Series 7 Online Class Preview from Kaplan...
What is FINRA?...
What is FINRA (The Financial Industry Regulatory A...
CRC-TV Episode 2 FINRA 2016 Examination Prioriti...
FINRA Exam Priorities of 2012...
Фрагмент вебинара - Регуляторы FINRA и NFA...
FINRA Audit Hot Buttons...
Pattern Day Trading Rule - FINRA Rule 2520 Day Tra...
June 22: Markets, Goldman Sachs, George Bush, FINR...
FINRA Fraude Financiero (Investment Fraud)...
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photo: Via YouTube
Cynthia Lee Fontaine on her "Drag Race" elimination and battle with cancer
Edit The Examiner 22 Mar 2016
This week, "RuPaul's Drag Race" said goodbye to one of the sweetest queens to ever walk the runway, Puerto Rico's Cynthia Lee Fontaine. Examiner.com caught up with her after her elimination when she revealed her take on season eight and talked about a health scare she had on the show. Examiner.com. What was going through your mind when RuPaul asked you to sashay away?. Cynthia ... They have a lot of talent and personality ... Examiner.com ... TW....
photo: Via YouTube
Islamic State issues statement promising ‘dark days’ ahead
Edit Indian Express 23 Mar 2016
Brussels attack. A grab from video footage of the men suspected of taking part in the attacks at the Belgium Airport. The Islamic State group has issued an updated communique taking credit for the Brussels attacks and threatening other countries taking part in the anti-IS coalition ... The communique was published in Arabic and French, and an English translation was provide by the SITE Intelligence Group, which monitors jihadi websites....
photo: AP / Rob Griffith
Australian Police Arrest 16-Year-Old Student Suspected Of Raising Funds For Islamic State
Edit WorldNews.com 23 Mar 2016photo: AP / Jeff Chiu
FBI's New Unlocking Method May Resolve Terrorist's iPhone 5C, But Scares Apple
Edit WorldNews.com 23 Mar 2016
The behind-the-scenes legal maneuvering in the Apple vs ... "We must first test this method to ensure that it doesn’t destroy the data on the phone, but we remain cautiously optimistic. That is why we asked the court to give us some time to explore this option.” – Statement by Melanie Newman, U.S ... The government must provide a status report to the federal magistrate judge by April 5.– WN.com, Jack Durschlag....
photo: NASA / JPL/Space Science Institute
Scientists Puzzled, Delighted By What's Happening At Jupiter's North Pole
Edit WorldNews.com 23 Mar 2016« back to news headlines
These are the 5 most expensive states for owning a car
Edit Business Insider 23 Mar 2016
FA Insights is a daily newsletter from Business Insider that delivers the top news and commentary for financial advisors. These are the 5 most expensive states for owning a car (GOBankingRates.com) ... FINRA ordered Morgan Stanley to pay $34 million to the estate of the co-founder of the Home Shopping Network (InvestmentNews). FINRA awarded $34 million to the estate of the co-founder of the Home Shopping Network, Roy M ... ....
10 Tips from FINRA
Edit Business Wire 23 Mar 2016
WASHINGTON--(BUSINESS WIRE)--Granting power of attorney (POA) for your investments to someone you trust can be a useful way to manage your finances in the event you should become unable to handle them yourself. In a new Investor Alert, the Financial Industry Regulatory Authority (FINRA) offers 10 tips to help investors understand, create and prudently use a POA for investment account assets ... ....
Widow accusing Morgan Stanley advisor of sleeping with hubby collects $34M
Edit New York Post 23 Mar 2016
The top Morgan Stanley financial advisor accused of churning the account of a married client — while carrying on a 12-year affair with the man — has cost the bank $34 million ... The Financial Industry Regulatory Authority order the firm to pay Speer’s estate the cash ... Terry McCoy, her manager, who approved the trades, Finra found, could not be reached for comment ... ....
Point Breeze Credit Union Welcomes New Financial Advisor (MD|DC Credit Union Association)
Edit Public Technologies 23 Mar 2016
(Source. MD.DC Credit Union Association). Point Breeze Credit Union has welcomed Michael L. Rogers, CLU as financial advisor for the newly launched MEMBERS Financial Services.* The addition of Rogers provides credit union members with new investment management and retirement planning services ... and a licensed representative of CMFG Life Insurance Company ... (CBSI), member FINRA /SIPC, a registered broker/dealer and investment advisor ... (noodl....
Flushing Bank Financial Consultant named National Award winner
Edit Stockhouse 23 Mar 2016
John R. Buran, President and Chief Executive Officer stated. “We are very proud to have Chi as a member of our Financial Consulting team ... Flushing Bank has had a partnership with ENSI, member Financial Industry Regulation Authority (“FINRA”) and Securities Investor Protection Corporation (“SIPC”), since 1998 ... About Flushing Financial Corporation ... ... Contact. Maria A....
Flushing Bank Financial Consultant named National Award winner (Flushing Financial Corporation)
Edit Public Technologies 23 Mar 2016
(Source. Flushing Financial Corporation) ... John R. Buran, President and Chief Executive Officer stated. 'We are very proud to have Chi as a member of our Financial Consulting team ... Flushing Bank has had a partnership with ENSI, member Financial Industry Regulation Authority ('FINRA') and Securities Investor Protection Corporation ('SIPC'), since 1998. ENSI provides custom-designed, turnkey solutions, tailored for us and our client base....
Envestnet | Tamarac Announces Integration with CAIS (Envestnet Inc)
Edit Public Technologies 23 Mar 2016
(Source. Envestnet Inc). CHICAGO, March 23, 2016 /PRNewswire/ -- Envestnet . Tamarac has teamed up with CAIS to provide independent advisors with access to third-party hedge funds and private equity funds, as well as research on the alternative investment space, through its portfolio and client management platform, Advisor Xi ... Tamarac ... (NYSE. ENV), at the end of last year ... CAIS Capital LLC is a registered broker-dealer, member FINRA, SIPC....
Guy Carpenter Launches GC AdvantagePoint® 2.0, the Latest Version of its Advanced Risk Management Platform (Guy Carpenter & Company LLC)
Edit Public Technologies 23 Mar 2016
(Source. Guy Carpenter & Company LLC) Guy Carpenter Launches GC AdvantagePoint® 2.0, the Latest Version of its Advanced Risk Management Platform. 1166 Avenue of the Americas New York, NY 10036. 917 937 3000. News Release. Contacts ... TAGS/KEYWORDS ... *Securities or investments, as applicable, are offered in the United States through GC Securities, a division of MMC Securities LLC, a US registered broker-dealer and member FINRA/NFA/SIPC ... Phone....
Wells Fargo Municipal Income Team Wins Five Lipper Fund Awards (Wells Fargo & Company)
Edit Public Technologies 23 Mar 2016
(Source. Wells Fargo & Company). Wells Fargo Funds family wins nine awards. SAN FRANCISCO-March 23, 2016. Wells Fargo Funds received a total of nine Lipper Fund Awards, as announced last night at the fund research and analysis organization's annual awards dinner in New York ... The team is led by veteran fund manager Lyle J ... The funds are distributed by Wells Fargo Funds Distributor, LLC, Member FINRA, an affiliate of Wells Fargo & Company....
Legg Mason Announces 2016 Lipper Fund Winners
Edit Stockhouse 23 Mar 2016
NEW YORK, March 23, 2016 /PRNewswire/ -- Legg Mason, Inc. (NYSE. LM) announced today that the Western Asset Core Plus Bond Fund and the Permal Alternative Core Fund have won 2016 Lipper Fund Awards ... The Western Asset Core Plus Bond strategy strives to maximize total return by providing balanced exposure to all major U.S ... About Legg Mason ... LM). About Western Asset ... (NYSE ... ©2016 Legg Mason Investor Services, LLC, member FINRA, SIPC ... ....
Legg Mason Announces 2016 Lipper Fund Winners (Legg Mason Inc)
Edit Public Technologies 23 Mar 2016
(Source. Legg Mason Inc). NEW YORK, March 23, 2016 /PRNewswire/ -- Legg Mason, Inc. (NYSE. LM) announced today that the Western Asset Core Plus Bond Fund and the Permal Alternative Core Fund have won 2016 Lipper Fund Awards ... The Western Asset Core Plus Bond strategy strives to maximize total return by providing balanced exposure to all major U.S ... About Legg Mason ... LM) ... (NYSE. LM) ... ©2016 Legg Mason Investor Services, LLC, member FINRA, SIPC....
Trade Execution - Amendments to the Rules and the Procedures of Bourse de Montréal Inc. (Bourse de Montréal Inc)
Edit Public Technologies 23 Mar 2016
(Source. Bourse de Montréal Inc) c1f7b59c-befc-4f30-b1d2-ad39f31edbb2.pdf. Trading - Interest Rate Derivatives. Back-office - Options. Trading - Equity and Index Derivatives. Technology. Back-office - Futures. Regulation. CIRCULAR 034-16. March 23, 2016. REQUEST FOR COMMENTS. TRADE EXECUTION. AMENDMENTS TO ARTICLES 5201, 6004, 6005, 6007, 6310, 6375, 6379, 6380, 6381, 6383, ... Tour de la Bourse. P.O ... 514 871-2424 ... www.m-x.ca ... P.O ... FINRA. ... FINRA. ... FINRA.....
The Securities Arbitration Law Firm of Klayman & Toskes, P.A. Launches Investigation into Sales Practice ...
Edit Business Wire 22 Mar 2016
BOCA RATON, Fla.--(BUSINESS WIRE)--The Securities Arbitration Law Firm of Klayman & Toskes, P.A. (“K&T;”), www.nasd-law.com, announces an investigation into Financial Industry Regulatory (FINRA) sales practice violations of full-service brokerage firms related to the handling of client brokerage accounts with concentrated positions in energy company stocks collateralized by margin loans ... ....
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