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WebImmediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner at Cleary, Gottlieb, Steen & Hamilton, LLP, based in Washington, DC. His … WebFINRA is located in Washington, DC, but also offers classes online. This school offers training in 15 qualifications, with the most reviewed qualifications being FINRA License, … csic2010下载
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WebDec 1, 2024 · FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations … WebApr 11, 2024 · Please direct your written comments to: David Bottom, Director/ Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or send an email to: [email protected] . Dated: April 5, 2024. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024-07495 Filed 4-10-23; 8:45 … WebWith 19 offices and 3,600 employees deployed throughout the country, FINRA is dedicated to ensuring that our nation’s financial markets are fair and honest. And because we … FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding … FINRA plays a critical role in ensuring the integrity of America’s financial … csic719