The recent tax law, Tax Cuts and Jobs Act of 2017, implements significant tax reform for individuals, businesses, and municipalities…

FINRA rules for protection against financial exploitation for seniors and other specified adults are effective February 5, 2018. The two…

FINRA announced on January 12, 2018, that the content outline for the Securities Essentials Exam (SIE) will be filed with…

On November 27, the Department of Labor announced an implementation extension for certain controversial provisions of its “Fiduciary Duty Rule’ that…

As Thanksgiving Day approaches, the team at Knopman Marks sends our thanks to you – the best customers a business…

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…