WebApr 6, 2024 · To test for your Series 22 license, FINRA requires: Employment with and sponsorship from a FINRA member. A passing grade on the SIE exam. 4. Series 57 - Securities Trader Representative. The Series 57 license is mandatory for entry-level security traders who want to learn to execute equity, convertible or preferred debt securities. WebDirector of Learning & Development at FINRA Rockville, Maryland, United States. 503 followers 496 connections. Join to view profile FINRA. The University of Texas at Austin ...
Learning to Invest - FINRA
WebFINRA's anti-money laundering (AML) e-learning courses cover concepts and strategies for detecting and preventing money-laundering activity. Each course presents unique scenarios that illustrate typical money-laundering situations. Scenarios review the importance of "knowing your customer," with situations involving a newly referred client and ... WebNov 18, 2024 · FINRA has published Regulatory Notice 21-41 regarding the Continuing Education Program Transformation. This program affects FINRA Rules 1210 and 1240, and specifically addresses the following three elements: Transitions the Regulatory Element to an annual requirement. Extends Firm Element to all registered persons and allows firms … booths opening
Best Series 3 Exam Prep Courses of 2024 - Investopedia
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