Netcapital’s Post

On this episode of #FINRAUnscripted we get the inside scoop on FINRA's Membership Application Program (MAP) from the programs VP, Cindy Foster. Tune in to gain insights on it's role as the first touchpoint for firms entering the broker-dealer industry, and standards of admission. Listen here 🎧: https://bit.ly/46zTNBE

Check out our latest on Broker-Dealer disciplinary proceedings in 2024

🧭 Technical analysis is your compass in navigating the financial market. ➡️ Today, we explain 5 key technical analysis terms that will help improve your trading strategy: 📈 Trendline – A charting tool that illustrates trend direction. 🛡️ Support Level – A price level an asset holds over some time. 🚧 Resistance Level – A price ceiling where selling pressure rises. ⚡️ Market Entry – Where a trader buys or sells based on strategy. 💰 Market Exit – Closing a position to secure profits or limit losses. Save this post to level up your trading! 🚀 #technicalanalysis #financialmarket #tradingstrategy #quadcode #saas #brokerage #fintech #business #finance #whitelabel #software #tradingsoftware #brokersoftware #liquidityprovider #stocks #forex #crypto #cfd #binaryoptions #trading #futures #cfd

FINRA is set to implement phased fee increases between 2025 and 2029, raising annual fees by $450 million. This move aims to address escalating costs in overseeing the brokerage industry. 📈 While the new fee structure will proportionally affect firms based on size, with larger firms seeing more significant additions, it's noteworthy that this is the first increase in certain fees since 2013. These measures are crucial as FINRA navigates rising expenses linked to wages and technological investments. 🔍 How do these changes affect the competitive environment for smaller brokerage firms? Are there alternative strategies firms can adopt to manage these increased costs? Join the conversation on the implications of FINRA's fee adjustments and share your insights. 🗣️  #FINRA  #Regulation  #BrokerageIndustry  #Fees  #FinancialServices

Unlock the power of legacy transfer with DLM Securities. We offer expert guidance to ensure your loved ones’ assets are secure and smoothly transitioned. #DLMCapitalGroup #BespokeFinancing #LegacyTransfer #WealthManagement

Next week, we're attending the FINRA Small Firm Conference in Chicago! Will we see you there? Stop by booth #10 to learn more about how Smarsh solutions help comply with FINRA rules. #FINRA #FINRASmallFirm #Smarsh #FINRASmallFirmConference #Chicago

I am thrilled to announce that I have passed the FINRA Securities Industry Essentials (SIE) exam today! I am grateful for the support of all who were part of this journey. Looking forward to applying my knowledge and skills in the financial industry. #FINRA #SIE #financialindustry #ameriprisefinancial

🧠 Learn the new #WordOfTheDay! Over-The-Counter (OTC) - Buying and selling securities directly between two parties, without using a formal exchange. 📚 Subscribe for FREE and get smart w/ money 👉🏽 https://hubs.la/Q02KXZBw0 👈🏽 👉 And if joining feels like we’re moving too fast, how about showing the love with 👍 and maybe a repost? Thanks & good karma #GreatWealthTransfer  #FinancialEducation

👋 S3's BLACK MaP lets you compare your portfolio to the larger market. See long and short concentrated positions relative to the market to assess your risk accurately.  No Bloomberg Terminal? No problem. For more information or to schedule a demo, head to: www.s3partners.com/contact #S3dsoftware is essential. . . . . . . #fintech #shortselling #predictiveanalytics #stockmarket #investors #cfos #traders #hedgefunds #sentiment