WebOption 1: Schedule your exam in a Prometric test center. All FINRA exams are available to be scheduled at a Prometric test center. Back-to-back scheduling is a feature that allows for the scheduling of two appointments on the same day and at the same test center in one transaction. If you want to schedule exams on different days, you must ... WebJul 28, 2024 · Cook also indicated that FINRA will conduct a sweep "related to options account opening compliance", focusing in on the "due diligence" being conducted by firms in this area. This sweep follows on the heels of FINRA's recent $70 million settlement with Robinhood Financial LLC, which focused in part on the failures to supervise the opening …
Finra probes brokerages’ use of social media for prospecting
WebSep 17, 2024 · The Finra examination covers social media communications from Jan. 1, 2024, through a date this year that varies for each firm involved in the sweep. A sweep typically is limited to “a small ... WebAug 11, 2024 · The Financial Industry Regulatory Authority Inc. announced Tuesday that it is launching an examination sweep probing the supervision, communications and … nisa 口座変更 タイミング
Finra targets options trading in latest exam sweep - InvestmentNews
WebAug 11, 2024 · Finra is looking into brokerage firms’ practices related to options accounts. The Financial Industry Regulatory Authority Inc. announced Tuesday that it is launching an examination sweep probing ... WebFeb 9, 2024 · FINRA CEO Robert Cook had indicated in July that the sweep would be coming and the regulator followed through shortly thereafter, releasing its Targeted Examination Letter on Option Account Opening, Supervision, and Related Areas in early August. “Options are tricky and can be difficult to understand for certain investors. WebFeb 21, 2024 · Sweep information is used to focus examinations and pinpoint regulatory response to emerging issues. “FINRA is conducting the targeted examinations with a variety of firms in terms of size and ... agodi ibadan zip code