WebThe MAP Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, we talk to Lisa Robinson, senior director of FINRA’s MAP Group within the ... Web21. apr 2024. · The FINRA Information Notice is supercilious bureaucratic doublespeak by which FINRA hopes to fool you into believing that there's something serious going on here in terms of regulation.
Broker-Dealer Proprietary Trading Groups: FINRA May Be In Your …
Web15. avg 2024. · Download PDF. Almost all proprietary trading firms that are currently registered as broker-dealers with the Securities and Exchange Commission (SEC) would likely be required to join the Financial Industry Regulatory Authority (FINRA) under rule amendments proposed by the SEC on July 29, 2024. Specifically, the proposed Rule … Web17. mar 2024. · The MAP Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of … hopper outer cape rentals
The MAP Group: Gatekeeper to the Broker-Dealer Industry - FINRA ...
WebThe MAP Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of admission and to help … WebIf you want to schedule exams on different days, you must select each exam individually and complete individual appointment transactions. Important: If you are scheduling with pre-approved FINRA accommodations, please contact Prometric’s Testing Accommodations Team toll-free at (800) 967-1139 to schedule your appointments. Web09. nov 2024. · The Financial Industry Regulatory Authority’s (FINRA) release of Regulatory Notice 20-21 (RN 20-21) on July 1, 2024, as previously reported, includes clarified guidance for calculating and presenting internal rates of return (IRR) for use in retail communications by FINRA member firms.The notice allows the use of IRR for investments or funds that … look ahead plan format