Securities industry regulations have long maintained that within a broker-dealer, the research team should function independently and free from influence…
The sweeping changes in technology that have occurred over the last twenty years have enabled companies new and old to…
NASD Rule 2340 details information that is required on trade confirmations for special products. Included in this rule is a…
An individual may not register as an associated person (e.g. registered rep) if subject to a statutory disqualification. FINRA may…
Rule 144 permits the sale of restricted stock and control stock under certain scenarios. Restricted stock is any unregistered stock,…
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…
General SIE Exam Guidance The SIE Exam tests candidates on securities industry knowledge and general concepts. Questions cover specific rules,…
FINRA’s new Securities Trader Qualification Examination – the Series 57 – is on the way. FINRA has filed a proposed…
FINRA’s extensive Exam Restructuring Program launches October 1, 2018. It radically changes the existing representative registration process by replacing the…
Series 24 Exam 101 If you are taking the Series 24 any time soon, you’ve probably heard that this exam…
When a security transaction (e.g. a purchase or sale of securities) is not completed according to the terms to the…
Are the Questions on the SIE Exam Different from Those on the Series 7 Top-Off Exam? In FINRA’s October 1,…
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