FINRA violation
My employer has committed a violation. Am I obligated to report to Broker/Dealer or FINRA?
My employer has committed a violation. Am I obligated to report to Broker/Dealer or FINRA?
+29 | What is Asset Management? | 3 | 2w | |
+25 | Scam - Remote Equity Analyst Role at Top LO | 7 | 1d | |
+20 | Workplace bullying or totally normal | 17 | 5d | |
+18 | Breaking into LO AM from FP&A... | 4 | 3d | |
+18 | Portfolio Associate Interview - Need advice! | 1 | 1w | |
+17 | BlackRock 2025 SA | 29 | 4d | |
Am I cooked? | 6 | 2w | ||
Equity Research at Bank vs IG, High Yield & Leveraged Loans Research at Asset Manager | 11 | 2w | ||
+15 | How to not be mentally drained by this job? | 4 | 6d | |
+13 | Do LO invest in businesses or stocks? | 3 | 2d |
Career Resources
Discuss with your firm's Compliance or Supervisory Management department.
You must file a Suspicious Activity Report within 30 days.
rat
"I choose Business Ethics"
Snitches sleep with the fishes.
lol...good one !
get a job @ some non-profit if you care about ethics/change-the-world and all that shit.
Voluptas velit qui animi tenetur. Corrupti neque recusandae saepe deleniti corporis. Quas voluptas et non quis rem. Aut repellendus quod dolorum ducimus repellat architecto harum. Magnam et autem deserunt deserunt vel.
See All Comments - 100% Free
WSO depends on everyone being able to pitch in when they know something. Unlock with your email and get bonus: 6 financial modeling lessons free ($199 value)
or Unlock with your social account...