Who is IN charge of FINRA?
Robert W. Cook
Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr.
What is FINRA enforcement?
FINRA does rulemaking by enforcement, meaning we pursue enforcement action for violations without first updating our rules or educating firms.
Is FINRA a private company?
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets.
Are all broker/dealers registered with FINRA?
Who regulates them: With few exceptions, broker-dealer firms must register with the Securities and Exchange Commission (SEC) and be members of FINRA.
How much do FINRA investigators make?
How much does a Investigator at FINRA make? The typical FINRA Investigator salary is $75,997 per year. Investigator salaries at FINRA can range from $70,908 – $87,241 per year.
Does finra pay well?
Salaries at Finra range from an average of $57,544 to $148,727 a year. Finra employees with the job title Financial Examiner make the most with an average annual salary of $80,946, while employees with the title Financial Examiner make the least with an average annual salary of $80,946.
Do finra employees get a pension?
Financial Industry Regulatory Authority(FINRA) Inc. Employees Retirement Plan provides financial security. The Plan offers pension, retirement plans, and various other benefits to its participants. FINRA Employees Retirement Plan serves employees and retirees of the company throughout the United States.
What happens if you are barred from FINRA?
Individuals who have been barred by FINRA as a result of a disciplinary decision or expedited proceeding will not appear on this list until the decision becomes a final FINRA action and the time period provided for an appeal permitted under the Exchange Act has expired….
| CRD | Individual Name |
|---|---|
| 5625392 | LEONARDO S ARAUJO |