0
633,388 as of Aug 2011. Go to finra.org and click on "Newsroom then Statistics.
Wiki User
∙ 12y ago
Add your answer:
Earn +20 pts
Who can I speak to regarding top mutual fund picks?
You can speak to a registered securities representative that is licensed by FINRA about mutual funds. You can also go to an independent broker for advice on mutual funds.
What license must a agent obtain to sell variable life insurance policies?
The agent needs a life insurance license. He also needs to be registered with FINRA. The insurance license is issued by the state insurance regulator. He will need to take a life insurance class that is typically a one-week class and take an exam. To be registered with FINRA, he will need to either self-study or take a class and take state securities exams and general securities exams.
Where can one find information on Series 63?
Series 63 is an exam administered by Financial Regulatory Authority or FINRA. Completion of this exam entitles an individual with qualifications necessary to become a registered representative who solicite orders for corporate debt and equity securities such as bonds, preferred stock and more. Official exam and information can be found at FINRA website.
How are representatives elected?
By population
What r.o.s.f.p means?
From Regulatory Notice 08-28 - Effective June 23, 2008 the Financial Industry Regulatory Authority ("FINRA") amended its rules to allow a member firm to integrate the responsibility for supervision and compliance of its public customer options business into its overall supervisory and compliance program. As part of these changes, FINRA eliminated the requirement that a firm must designate a specific officer or general partner to serve as the Senior Registered Options Principal (SROP), and a specific individual (who may also be the SROP) to serve as the Compliance Registered Options Principal (CROP). The amendments provide member firms with the flexibility to allow several individuals to fulfill these supervisory functions, in accordance with the firm's overall supervisory structure. FINRA reminds firms of their obligation to designate appropriately registered principal(s) to supervise their public customer options activities pursuant to NASD Rule 3010(a)(2). FINRA Rule 1022 (Categories of Principal Registration) has been amended to delete the reference to the SROP and CROP and clarify that if a person is engaged in the supervision of a member firm's options and security futures business, including a person designated pursuant to NASD Rule 3010(a)(2), then such person must be registered as a Registered Options and Security Futures Principal (ROSFP).
How is the investment adviser registration depository iard related to finra?
FINRA developed and operates the IARD system based on the SEC and NASAA's requirements. The SEC and NASAA chose FINRA to administrate the IARD system due to its technical experience with regulatory depositories and databases.
How do you verify a series 7 license in NY?
A stockbroker's Series 7 license can be verified in New York by checking with FINRA. FINRA is the Financial Industry Regulatory Authority.Ê
Who elects people in the House of Representatives?
All registered voters in a district vote for the representative for that district.
Where can I find the corporate bond prices?
Corporate bond prices can be found through FINRA. FINRA is the Financial Industry Regulatory Authority, an independent regulatory authority for these type of products.
What is the difference between the SEC and FINRA?
SEC - Securities and Exchange Commission; FINRA - Financial Industry Regulatory Authority; The SEC is a government agency, FINRA is not. They both have regulatory powers. FINRA is mainly concerned with the broker-dealer network and the SEC is the enforcement arm of the government which investigates criminal wrongdoing by companies and individuals involved in the securities business. More detailed information can be found here http://blog.etnasoft.com/2013/01/brokerage-regulations/
Who do registered voters directly elect?
Voters directly elect members of the Senate and members of the House of Representatives
How many Illinois representatives in the house of representatives?
Illinois currently has 19 representatives in the House of Representatives.
