Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
across all aspects of the trade desk. Qualifications: Licensing: FINRA Series 7 and 63/66 required. Experience: 3-5 years in Trade...
Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
during the assigned paid study period. FINRA registrations required within three months. State insurance licenses... will be required. As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC), as well...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents...
Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material...
in this wealth management offer. Throughout the Academy you will: Study and pass FINRA SIE, Series 7 and 66 licenses Learn...
: Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS) reporting to FINRA Short Interest and Electronic... Blue Sheets (EBS) filings to FINRA Monitoring Trade Reporting Facility (TRF) and Over-the-Counter Reporting Facility (ORF...