Overall, I found the app very user-friendly, with access to real-time price data, trading history, market news and more.Regulation & LicenseOur experts are satisfied with the regulatory status of Doo Prime.The Doo Group is regulated by top-tier institutions: the SEC and FINRA in the US, ...
150,647 branch offices, and over 620,882 registered securities representatives and is an explanatory tool that shows how to properly use and manage the information provided. With FINRA BrokerCheck, an investor can find a firm's history, learn of any indiscretions and locate and identify popular ...
Moomoois a free trading app powered by Nasdaq-listed FinTech FUTU. Its parent company Moomoo Financial Inc. is an SEC and FINRA regulated brokerage with headquarters in Palo Alto, CA. You can look up their FINRA’s BrokerCheck records here (CRD#: 283078/SEC#: 8-69739). Moomoo has two...
Agents of broker-dealers must also register with the Louisiana Securities Division through the FINRA-managedCentral Registration Depository (CRD). Agents are required to pass a FINRA exam (Series 6 or 7) pertaining to the financial products they’ll be involved in selling, as well as either the...
Broker-dealer agents are required to register with Alaska’s Division of Banking and Securities through the FINRA-managed Central Registration Depository (CRD). Stockbrokers who are registered in Alaska must pass either the Series 63 or 66 state exams in combination with a product exam such as th...
CRDFINRAPredictive modelingWe reconcile widely diverging recent estimates of broker misconduct. Qureshi and Sokobin [2015] reported that 1.3% of a sample of current and former brokers was associated with awards or settlements in excess of a threshold amount. Egan, Matvos, and Seru [2016] found ...