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1. seclaw.com › what-is-a-broker-crd-numberWhat is a Broker CRD Number - SECLaw

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   5 days ago · CRD number lookups allow investors to search for information about a broker’s employment and regulatory history. By entering a broker’s CRD number into FINRA’s BrokerCheck tool, investors can learn about their licenses, employment history, and disciplinary actions.

2. seclaw.com › finra-registration-requirementsWho Needs to Register - SECLaw

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   4 days ago · General Securities Representatives. Some registration categories are obvious – a person has functions of supervision, solicitation or conduct of business in securities or who are engaged in the training of persons associated with a member for any of these functions must register as general securities representatives. (See Rule 1031).

3. People also ask

   Who are FINRA member supervision & market regulation & transparency services?

   • FINRA Member Supervision and Market Regulation and Transparency Services staff come together to provide insights into 2024 key examination and investigation priorities and recent findings related to fixed income securities and municipal advisory activities.

   Conferences & Events | FINRA.org

   www.finra.org/events-training/conferences-events

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   What is the SEC & MSRB FINRA webcast program?

   • Co-sponsored by the SEC, MSRB and FINRA, this free webcast program will provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers.

   Conferences & Events | FINRA.org

   www.finra.org/events-training/conferences-events

   See all results for this question

   Who must register as a general securities representative?

   • General Securities Representatives Some registration categories are obvious – a person has functions of supervision, solicitation or conduct of business in securities or who are engaged in the training of persons associated with a member for any of these functions must register as general securities representatives. (See Rule 1031).

   Who Needs to Register - SECLaw

   seclaw.com/finra-registration-requirements/

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   Does FINRA have a market data center?

   • Data for equities, options and mutual funds, including information saved to your current Market Data Center Watchlist, will still be available in the Market Data Center. Welcome to FINRA's Market Data Center.

   Market Data - Morningstar, Inc

   finra-markets.morningstar.com/BondCenter/Results.jsp

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4. www.finra.org › events-training › conferences-eventsConferences & Events | FINRA.org

   www.finra.org › events-training › conferences-events

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   4 days ago · COVID-19: A Message From FINRAStay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial ...

5. seclaw.com › exemptions-from-broker-dealerExemptions from Broker-Dealer Registration - SECLaw

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   4 days ago · Firms that limit their securities business to buying and selling municipal securities for their own account (municipal securities dealers) must register as general-purpose broker-dealers. If, however, these entities are banks or meet the requirements of the intrastate exemption discussed in Part II.D.2. above, they must register as municipal ...

6. www.finra.org › events-training › conferences-eventsFINRA Webinar: Residential Supervisory Location (RSL ...

   www.finra.org › events-training › conferences-events

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   3 days ago · FINRA Webinar: Residential Supervisory Location (RSL) – System Navigation. This half-hour webinar will feature a look at system functionality related to RSL, including the Form U4 filing experience and reports in FINRA Gateway.

7. ucsd.libguides.com › cFinding SEC Filings & Annual Reports - Finance Research ...

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   5 days ago · Quickest places to look: SEC's Edgar site. You may go right to the Security & Exchange Commission's (SEC) EDGAR database. "Search for Company Filings" is the most popular search. Mergent Online. Search on and open an individual company's profile. Click on the tab named Filings. SEC filings.

8. finra-markets.morningstar.com › BondCenter › ResultsMarket Data Home

   finra-markets.morningstar.com › BondCenter › Results

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   4 days ago · Economic Indicator Calendar. No data available. Actual refers to the actual figures after their release. Briefing.com refers to Briefing.com's forecast. Consensus represents the market consensus estimate for each indicator. Prior represents the last actual for each indicator. In cases where the release is a revision to an earlier estimate, as ...