FINRA Guidance on Blogs and Social Networking SitesNotice 10-06 pertaining to how the FINRA rules governing communications with the If a firm or its representatives sponsor a blog with static posting, FINRA would …Read more
Financial Services AlertInvestment Management Compliance Testing Survey Released. FINRA Proposes Consolidated Rules for Suitability and Know-Your-Customer Obligations (the “AWC”) with FINRA regarding alleged violations of Regulation S-P and certain …Read more
Securities Industry Professionals Bernie Young and Michael …the Financial Industry Regulatory Association (”FINRA“) where he advanced to the position of Director for includes FINRA, SEC, NFA, and CFTC. registrations, insurance licensing and appointments, ongoing compliance services, Professional …Read more
January 26, 2009 The Honorable Christopher Dodd The Honorable …money management world is precisely the sort of factor that might awe both internal compliance ensuring compliance with custody requirements, FINRA should at least have asked who the …Read more
Panel Discussion at AICPA/SIFMA FMD National Conference …The Chief Compliance Officer must meet with the CEO on a. regular basis to discuss the are independently tested as part of the FINRA 3012 and NYSE …Read more
Michael is on both the faculties of FINRA (formerly NASD) Institute of Professional Development where he conducts a one-day symposium on. managing risk, compliance and controls, and Columbia University’s School of not only a Chief Compliance Officer but also. undertake a process to …Read more
Course Title: Anti-Money Laundering (Retail Version)Your Registration, Compliance and Supervisory Teams can manage, track, FIRE has created thousands of original test questions that follow the FINRA exam format. …Read more
Countdown to E-mail Compliancethird party for the FINRA, SEC, NASD, NYSE auditors. Take compliance off your IT staff’s TO-DO list. off-site email compliance and archive service. rethinkit inc, 48 w st 25th street, 4th …Read more
If I work for the FINRA will I be stuck in compliance?
I got an offer fresh out of college for a “regulatory coordinator position” which the main responsibility is FOCUS report surveillance (which is a supposed financial report). It is a very nice offer, but I do not want to be pigeon-holed into compliance.
I would one day like to get into Investment Banking. I also have an offer from Thomson Reuters in their Consulting/Advisory services for Capital Markets Stock Surveillance, which requires watching the markets (a lot of technical analysis), but compensation is relatively poor.
I really do not want to be stuck doing compliance, but the FINRA seems like a good place to start especially with the compensation.
Since you will not be giving any bond, the Financial Industry Regulatory Authority (FINRA), which is the largest non-governmental regulator for all securities firms doing business in the United States., will be an ideal place to learn work in a professional environment !!
