After many years of status quo, IRS new issue pricing regulation for municipal issuers is changing significantly on June 7….
At Knopman Marks, we believe that we are in this together. Our success as an organization depends on your success…
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 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…
FINRA’s extensive Exam Restructuring Program launches October 1, 2018. It radically changes the existing representative registration process by replacing the…
General SIE Exam Guidance The SIE Exam tests candidates on securities industry knowledge and general concepts. Questions will cover specific…
New Research Rules FINRA’s released new research rules which generally: – reduce the research quiet periods following IPOs and secondary offerings,…
UPDATE 5/29: FINRA has put out a request for comment and a proposed draft Securities Industry Essentials Examination (SIE) Content Outline…
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