The new Securities Industry Essentials (SIE) Exam will change your business (read more about it here)! Over the past few…
This week is FINRA’s annual conference, and from the Knopman Marks perspective we are most excited to share an update…
Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Updates Rule 147 was…
The first reward of your job search is an interview. Interviews are not easy to come by –the competition is…
The Securities Act of 1933 is referred to as the “truth in securities” law and has two basic objectives: Requires…
As a candidate preparing for a state securities exam – Series 63, Series 65, or Series 66 – it is…
FINRA’s new Securities Trader Qualification Examination – the Series 57 – is on the way. FINRA has filed a proposed…
When a security transaction (e.g. a purchase or sale of securities) is not completed according to the terms to the…
UPDATE 5/29: FINRA has put out a request for comment and a proposed draft Securities Industry Essentials Examination (SIE) Content Outline…
New Research Rules FINRA’s released new research rules which generally: – reduce the research quiet periods following IPOs and secondary offerings,…
Is there a FINRA exam in your future? If so, it’s time to refresh your study habits – FINRA exam…
Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Updates Rule 147 was…
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