FINRA has announced an exclusive exam delivery relationship with Prometric beginning January 1, 2018. This relationship applies to all FINRA…
The MSRB recently amended its customer complaint and related investor brochure rules (Rule G-10). Registered municipal dealers, broker-dealers, and municipal…
Just a short while ago, you left a life-changing experience. You saw and experienced many new lessons that will serve…
Here at Knopman Marks, we’ve been working hard to create a learning experience that inspires. The goal was simple: delight…
According to current reports, more than 90 percent of recruiters and employers use social media in evaluating job candidates. A…
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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