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FINRA Licensed: Best Career Options
Interested to receive some input on career path options. I have experience at an independent broker dealer working in operations and client facing roles, as well as business development and some derivatives trading for old school advisors. Also, I have worked for BB in back office. I have my FINRA...
SIE Exam Incoming Analyst - Extended Time
Starting my full-time career in a few months and honestly starting to freak out about the SIE exams. I have a documented audio/visual disorder that has allowed me double time on tests and quizzes throughout HS/college as well as other exams (i.e. SAT, ACT, CPA). Will I be able to do the same with...
FINRA qualification? Require or not?
I would like to enter a career path which is more focus on sales & trading / client facing career. Does having a qualification in FINRA series exam get me in more easily? As from its website, I saw that after 1st Oct 2018, the exam is open for everyone above 18. And would like to know which series...
FINRA Brokercheck name wrong
Hey guys, I went onto FINRA's brokercheck website and realized that my name is spelled wrong. I must have made a mistake when filling out the initial forms before my test. Should I contact FINRA to fix this error? Also, I am no longer with the firm that I was first registered with. Thanks
Past (Small) FINRA Violations on Personal Account - Compliance Problem?
I'm in consulting but am hoping to potentially make the move to IB down the line. My concern is about the personal financial disclosures that one has to make. Earlier in my youth, as an idiot, I incurred a couple (2) minor FINRA violations--"free riding" and "good faith" violations--playing around...
Very Profitable Position Force Liquidated After 999% House Maintenance Margin Met
To put it simply -- a further explanation is below and I have recordings of everything -- I sold options to open set to expire in about a year through Etrade within all their parameters. In fact, I had them write the margin requirements in paragraph form and screen printed the margin calculator to...
Get A Job at FINRA
Hi all, I am desperately trying to secure a job at FINRA as a Compliance Examiner or Regulatory Analyst. I have a JD and a BBA in Finance. I plan to get an MSF down the road. Does anyone have any ideas as to how best to secure a job at FINRA? FINRA employees or former employees especially, please...
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