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https://www.finra.org/contact-finra
FINRA staff is working remotely in light of COVID-19. We strongly encourage investors who are filing complaints to do so electronically. Investor Contacts Investor Complaint Center FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions, including fines, suspensions and other sanctions.
FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not-for-profit organization that – working under ...
https://www.finra.org/about/locations
With 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 operate in the communities where firms do business and disputes actually occur, we understand emerging issues affecting investors right in their own neighborhoods.
https://www.finra.org/about/finra-international
FINRA collaborates with international regulators to support and improve oversight of firms with global operations. Specifically, FINRA International works to: Facilitate cooperation and information sharing between FINRA and foreign authorities to the benefit of FINRA's regulatory and policy units; Ensure that FINRA has strong relationships with ...
https://www.finra.org/about/governance/executives
Hopper joined FINRA in 2004 and was a Director in FINRA’s Washington D.C. office until 2011. Prior to joining FINRA, from 2000 to 2004, she was part of Legg Mason Wood Walker, Inc.'s Legal & Compliance team, where her responsibilities focused on retail sales compliance. She began her career as a litigation attorney in private practice.
https://www.finra.org/about/firms-we-regulate
Firms We Regulate. FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book. A Funding Portal is a crowd funding ...
https://www.finra.org/registration-exams-ce
Central Registration Depository (CRD) CRD is a secure system that serves two purposes: It contains the registration records of broker-dealer firms and their associated individuals, including their qualification, employment and disclosure histories. It also facilitates the processing of form filings, fingerprint submissions, qualification exams ...
https://www.finra.org/about/office-ombudsman
Call toll-free at (888) 700-0028, weekdays from 9 a.m. to 5 p.m., ET. Fax: (240) 386-6271. Write to: FINRA Ombudsman. 9509 Key West Avenue. Rockville, MD 20850. Email. Upon conclusion of your contact with the Office of the Ombudsman, if you have feedback on your interaction, please take our brief, anonymous survey.
https://brokercheck.finra.org/
Go to your state securities regulator to do additional research on brokers and investment advisers. BrokerCheck does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a "breach of trust."
https://triangleinnovationhub.com/company-secretary-duties
In der Tat sind die gesetzlichen Pflichten eines Unternehmenssekretärs praktisch an das Unternehmen gerichtet. Ein Unternehmenssekretär ist ein leitender Angestellter und als solcher muss er sich um das Büro kümmern. Als Verbindungsbeamter muss ein Unternehmenssekretär im Namen des Unternehmens Beziehungen zu anderen pflegen.
Wir hoffen, dass Sie über die obigen Links alle notwendigen Informationen zu Finra-Büro Des Unternehmenssekretärs gefunden haben.
