- published: 11 Mar 2016
- views: 204
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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
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: 11159
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: 1155
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: 715
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: 418
http://www.zerohedge.com/news/2016-04-03/why-finra%E2%80%99s-private-court-just-got-served
Subscribe to my other channel The Political Gameshow: https://www.youtube.com/c/thepoliticalgameshow
http://www.jmbullion.com (Recommended for Silver and Gold Purchases.)
http://www.realistnews.net
- published: 04 Apr 2016
- views: 4528
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: 6298
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: 341
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1:24What is FINRA (The Financial Industry Regulatory Authority)?
What is FINRA (The Financial Industry Regulatory Authority)?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 -
1:53FINRA: Our Story
FINRA: Our Story -
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 -
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/ -
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. -
4:52Basics 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 -
31:05REALIST NEWS - FINRA’s Private Court Just Got Served - Amazing Story
REALIST NEWS - FINRA’s Private Court Just Got Served - Amazing StoryREALIST NEWS - FINRA’s Private Court Just Got Served - Amazing Story
http://www.zerohedge.com/news/2016-04-03/why-finra%E2%80%99s-private-court-just-got-served Subscribe to my other channel The Political Gameshow: https://www.youtube.com/c/thepoliticalgameshow http://www.jmbullion.com (Recommended for Silver and Gold Purchases.) http://www.realistnews.net -
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/. -
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.
-
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... -
-
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 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 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... -
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 -
REALIST NEWS - FINRA’s Private Court Just Got Served - Amazing Story
http://www.zerohedge.com/news/2016-04-03/why-finra%E2%80%99s-private-court-just-got-served Subscribe to my other channel The Political Gameshow: https://www.youtube.com/c/thepoliticalgameshow http://www.jmbullion.com (Recommended for Silver and Gold Purchases.) http://www.realistnews.net -
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
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.
What is FINRA (The Financial Industry Regulatory Authority)?
- Order: Reorder
- Duration: 1:24
- Updated: 11 Mar 2016
- views: 204
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: 204
FINRA: Our Story
- Order: Reorder
- Duration: 1:53
- Updated: 16 Jul 2013
- views: 5575
FINRA Rules, Social Tools, and SEC Fools
- Order: Reorder
- Duration: 4:23
- Updated: 04 Nov 2014
- views: 449
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: 11159
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: 11159
FINRA Supervision Rules: What You Need to Know in 2015 LIVE Webcast
- Order: Reorder
- Duration: 120:06
- Updated: 27 Oct 2014
- views: 1155
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: 1155
FINRA Collects, Analyzes Billions of Brokerage Transaction Records Daily Using AWS
- Order: Reorder
- Duration: 3:42
- Updated: 15 Jan 2016
- views: 715
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: 715
Basics of Compliance with FINRA Rule 3240
- Order: Reorder
- Duration: 4:52
- Updated: 10 Jul 2014
- views: 418
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: 418
REALIST NEWS - FINRA’s Private Court Just Got Served - Amazing Story
- Order: Reorder
- Duration: 31:05
- Updated: 04 Apr 2016
- views: 4528
http://www.zerohedge.com/news/2016-04-03/why-finra%E2%80%99s-private-court-just-got-served
Subscribe to my other channel The Political Gameshow: https://www.yo...
http://www.zerohedge.com/news/2016-04-03/why-finra%E2%80%99s-private-court-just-got-served
Subscribe to my other channel The Political Gameshow: https://www.youtube.com/c/thepoliticalgameshow
http://www.jmbullion.com (Recommended for Silver and Gold Purchases.)
http://www.realistnews.net
wn.com/Realist News Finra’S Private Court Just Got Served Amazing Story
http://www.zerohedge.com/news/2016-04-03/why-finra%E2%80%99s-private-court-just-got-served
Subscribe to my other channel The Political Gameshow: https://www.youtube.com/c/thepoliticalgameshow
http://www.jmbullion.com (Recommended for Silver and Gold Purchases.)
http://www.realistnews.net
- published: 04 Apr 2016
- views: 4528
FINRA Uses AWS to Analyze 30 Billion Financial Market Events Every Day
- Order: Reorder
- Duration: 4:06
- Updated: 17 Jul 2014
- views: 6298
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: 6298
FINRA
- Order: Reorder
- Duration: 1:39
- Updated: 11 Aug 2014
- views: 341
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: 341
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1:24
What is FINRA (The Financial Industry Regulatory Authority)?
Welcome to the Investors Trading Academy talking glossary of financial terms and events.
...
published: 11 Mar 2016
What is FINRA (The Financial Industry Regulatory Authority)?
What is FINRA (The Financial Industry Regulatory Authority)?
- Report rights infringement
- published: 11 Mar 2016
- views: 204
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: 5575
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
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- published: 04 Nov 2014
- views: 449
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
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- published: 05 Jan 2013
- views: 11159
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
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- published: 27 Oct 2014
- views: 1155
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: 715
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: 418
31:05
REALIST NEWS - FINRA’s Private Court Just Got Served - Amazing Story
http://www.zerohedge.com/news/2016-04-03/why-finra%E2%80%99s-private-court-just-got-served...
published: 04 Apr 2016
REALIST NEWS - FINRA’s Private Court Just Got Served - Amazing Story
REALIST NEWS - FINRA’s Private Court Just Got Served - Amazing Story
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- published: 04 Apr 2016
- views: 4528
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
- Report rights infringement
- published: 17 Jul 2014
- views: 6298
1:39
FINRA
FINRA (Financial Industry Regulatory Authority) is a nongovernmental organization that reg...
published: 11 Aug 2014
FINRA
FINRA
- Report rights infringement
- published: 11 Aug 2014
- views: 341
What is FINRA (The Financial Industry Regulatory A...
FINRA: Our Story...
FINRA Rules, Social Tools, and SEC Fools...
Series 7 Training for The FINRA Exam Episode 1 Com...
FINRA Supervision Rules: What You Need to Know in ...
FINRA Collects, Analyzes Billions of Brokerage Tra...
Basics of Compliance with FINRA Rule 3240...
REALIST NEWS - FINRA’s Private Court Just Got Serv...
FINRA Uses AWS to Analyze 30 Billion Financial Mar...
FINRA...
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Lyrics list:lyrics
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I'm Not
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Scythe
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Stylefree
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Scratch
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Scaredycat
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Sam The Dancing Bear
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Lost In The Stars
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In God We Trust
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For The Present
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I'm Not
I don't believe you
You twist the truth
when you speak
Of my intelligence
You'd better make amends
Take it back
I won't exemplify
the vile lies
I know you told about me
During that time
I thought you were my friend
You and I were inseperable
but now you have become
totally unacceptable
And I'm still harmless
as a cloud
But I'm not insane
Don't you call me mad
I warn you
I'm not
When we first met
you said you thought
I was the most clever
Guy you know now I don't know
what I've done wrong
What did I do ?
Just 'cause I eat some squirrel meat
now and again
doesn't mean that I have
a faulty brain
Don't call me stupid
photo: AP / Tony Gutierrez
Suspected sniper dies from self-inflicted wound after standoff with Dallas police; five officers killed in attacks
Edit Fox News 08 Jul 2016
A suspected sniper who was in a standoff with Dallas Police early Friday reportedly died from a self-inflicted gunshot wound hours after five officers were killed and several others were wounded in an attack targeting law enforcement officers during a protest march ... ....
photo: AP / Eric Gay
Police ID Dead Dallas Shooting Suspect As Army Vet Micah Xavier Johnson
Edit WorldNews.com 08 Jul 2016
Micah Xavier Johnson, 25, a U.S. Army veteran, has been identified as a dead suspect who launched a deadly sniper attack during an anti-police brutality march in Dallas Thursday night, Raw Story reported Friday.Johnson was killed after a robotic explosive device cornered him in a parking garage at El Centro College after police negotiated with him for several hours ... We’ve got other possible suspects that we’re interviewing....
photo: Creative Commons / U.S. Air Force photo Paul Ridgeway
Trolley and Footbridge Dilemmas Reveal Why Obama Should Ban Drone Warfare
Edit WorldNews.com 08 Jul 2016
Article by WN.com Correspondent Dallas DarlingThey say the Devil never sleeps. Evidently, neither does the Obama administration’s moral ambiguity over the use of drones ... Adding other regions and nations where Obama used drone strikes surely challenges his figures.What’s more, critics claim targeted strikes often create many more militants than they kill ... In fact, it looks like a virtual video game ... Dallas Darling (darling@wn.com)....
photo: AP / LM Otero
Four police killed, 7 wounded in Dallas shooting protest
Edit RTE 08 Jul 2016
Four police officers were fatally shot and seven wounded in one of the worst shootings of police in recent US history, by snipers who targeted them during rallies in Dallas to protest against the fatal shooting of two black men by police this week. Dallas Police Chief David Brown told a news conference that two snipers in elevated positions shot 11 officers, killing three, in what appeared to be a coordinated attack ... ....
photo: AP Photo/LM Otero
BREAKING: Shots Fired At Demonstrators and Police at Black Lives Matter Protest From Unknown Shooters
Edit WorldNews.com 08 Jul 2016
Reports indicate that ten police officers have been shot in Dallas, Texas during a protest over the recent police shootings in the United States according to NBC News. Three officers were killed and seven more are still undergoing treatment for injuries. Witnesses reported and recorded via webcasts as multiple shots ring out during the protest near the downtown area of Dallas on Thursday night ... - WN.com, Maureen Foody. ....
« back to news headlines
Update: OTC Transparency Symbology (FINRA - Financial Industry Regulatory Authority Inc)
Edit Public Technologies 08 Jul 2016
FINRA - Financial Industry Regulatory Authority Inc). This communication serves as an update to the FINRA OTC Transparency Technical Notice posted on July 5, 2016, regarding OTC Transparency Symbology ... Trades that were submitted to FINRA prior to Monday, July 18, 2016, will continue to be reflected with the OATS symbology....
Top state regulator to probe Morgan Stanley loan sales
Edit New York Post 08 Jul 2016
James Gorman is about to feel some pain in Massachusetts. William Galvin, the Bay State’s top securities regulator, has launched an investigation of Gorman’s Morgan Stanley and its alleged loan sales contests, which posed apparent conflicts of interest with clients, The Post has learned ... Finra, the brokers self-regulatory body, is also probing the matter ... ....
Florida Investment Adviser Charged with Defrauding Clients of Almost $800,000 (Federal Bureau of Investigation - Philadelphia Field Office)
Edit Public Technologies 08 Jul 2016
(Source ... The indictment further alleges that Premock continued to hold himself out as a stock broker and investment adviser even after his licenses were suspended and after he was permanently barred by FINRA from working as a stock broker or otherwise associating with a firm that sold securities to the public, and that he failed to disclose the suspension and permanent bar to his clients ... Lowe ... (noodl. 34463300) ....
Get a Job: Big Employment Number A Huge Turn-Around After May Miss
Edit Stockhouse 08 Jul 2016
What a difference a month makes. The job market hit a home run in June, with 287,000 jobs created. That’s well above consensus expectations for 175,000 and a sharp turn-around from the anemic 38,000 jobs created in May. A big question going into today’s report was whether the May number was a trend or an anomaly. It appears the market has its answer. It was an anomaly ... crude remains below $46 ... (NYSE ... TD Ameritrade, Inc., member FINRA/SIPC ... ....
New FINRA Proposed Rule (Drinker Biddle & Reath LLP)
Edit Public Technologies 07 Jul 2016
FINRA and the SEC have approved an amendment to NASD Rule 1032(f) (the 'New Rule'), expanding the scope of individuals associated with a FINRA member broker-dealer who will be required to register as Security Traders as defined in the New Rule ... FINRA notes that various examples of systems that are considered algorithmic trading strategies if they generate or route orders include, but are not limited to ... Further, as noted by FINRA.....
Online Dating and Investment Fraud: Always Check Your Sources (FINRA - Financial Industry Regulatory Authority Inc)
Edit Public Technologies 07 Jul 2016
FINRA - Financial Industry Regulatory Authority Inc) ... You can quickly check to see if someone is registered to sell investments through FINRA's free online tool, BrokerCheck, or the SEC's investor.gov website ... If you ever think a claim about an investment might be exaggerated or misleading, you can send a tip or file a complaint with FINRA, or with the SEC ... FINRA - Financial Industry Regulatory Authority Inc....
CrowdFunnel Collaborates With TriPoint to Facilitate Investor Referrals for Crowdfunding Platforms and Issuers
Edit PR Newswire 07 Jul 2016E*TRADE Financial Corporation Announces Second Quarter 2016 Earnings Conference Call
Edit Stockhouse 07 Jul 2016
E*TRADE Financial Corporation Announces Second Quarter 2016 Earnings Conference Call. E*TRADE Financial Corporation (NASDAQ.ETFC) today announced that it will report its second quarter 2016 financial results after the close of the U.S ... Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC)....
E*TRADE Financial Corporation Announces Second Quarter 2016 Earnings Conference Call (E*TRADE Financial Corporation)
Edit Public Technologies 07 Jul 2016
(Source. E*TRADE Financial Corporation). July 7, 2016. NEW YORK--(BUSINESS WIRE)-- E*TRADE Financial Corporation (NASDAQ.ETFC) today announced that it will report its second quarter 2016 financial results after the close of the U.S. financial markets on Thursday, July 21, 2016 ... ET ... About E*TRADE Financial ... Securities products and services are offered by E*TRADE Securities LLC (Member FINRA/SIPC) ... or....
Florida Investment Adviser Charged With Defrauding Clients Of Almost $800,000 (United States Attorney's Office for the Eastern District of Pennsylvania)
Edit Public Technologies 07 Jul 2016
(Source ... The indictment further alleges that Premock continued to hold himself out as a stock broker and investment adviser even after his licenses were suspended and after he was permanently barred by FINRA from working as a stock broker or otherwise associating with a firm that sold securities to the public, and that he failed to disclose the suspension and permanent bar to his clients ... Lowe ... (noodl. 34451492) ....
Legg Mason Announces Acquisition of Financial Guard LLC (Legg Mason Inc)
Edit Public Technologies 07 Jul 2016
(Source. Legg Mason Inc). BALTIMORE, July 7, 2016 /PRNewswire/ -- Legg Mason, Inc. (NYSE. LM) today announced that it has agreed to acquire an 82% majority equity interest in Financial Guard LLC, an online Registered Investment Advisor and innovative technology-enabled wealth management and investment advice platform. Financial terms of the transaction were not disclosed ... LM) ... ©2016 Legg Mason Investor Services, LLC, member FINRA, SIPC....
Swiss Re Capital Markets structures and places USD 100 million catastrophe bond for United Property & Casualty Insurance Company (Swiss Re Ltd)
Edit Public Technologies 07 Jul 2016
(Source. Swiss Re Ltd). 07 July 2016, Zurich. Swiss Re Capital Markets has successfully structured and placed the issuance of USD 100 million of insurance-linked securities by Laetere Re Ltd ... and Interboro Insurance Company (together, 'UPC') ... Laetere Re Ltd ... Laetere Re Ltd ... In the U.S., securities products and services are offered through Swiss Re Capital Markets Corporation, a registered broker dealer and a member of FINRA and SIPC ... Best....
2016 US M&A; to buck trend of dealmaking slump after historic year (Ernst & Young LLP)
Edit Public Technologies 07 Jul 2016
(Source. Ernst & Young LLP) M&A; shows resilience in first half and remains robust Second half to be powered by life sciences and technology ... Slowing global GDP putting pressure on growth ... Divestitures ... ### ... Ernst & Young Capital Advisors, LLC (EYCA) is a registered broker-dealer and member of FINRA (www.finra.org) providing sector-specific advice on M&A;, debt capital markets, equity capital markets and capital restructuring transactions....
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