Financial Industry Regulatory Authority

  1. Why This Billionaire Is Cutting Hedge Fund Fees ...

    Discover the struggles of hedge funds and Tudor Investment Corporation's Paul Tudor ...
  2. Three Surefire Ways to Lose Your CFP Designation

    The CFP Board of Standards regularly disciplines advisors for sidestepping the rules. ...
  3. The Short and Distort: Stock Manipulation in ...

    High-quality stock reports needn't be confused with stock manipulators' dramatic ...
  4. 5 Of 8 Big Banks 'Failed' By U.S. Regulators ...

    Banks must submit a living will, describing the company's strategy for orderly resolution ...
  5. MetLife Too Big To Fail Designation "Capricious" ...

    The U.S. District Court opinion releasing MetLife Inc. (MET) from its designation ...
  6. Dissecting Declarations, Ex-Dividends and Record ...

    Understanding the dates of the dividend payout process can be tricky. We clear up ...
  1. Why This Billionaire Is Cutting Hedge Fund Fees ...

    Discover the struggles of hedge funds and Tudor Investment Corporation's Paul Tudor ...
  2. 5 Of 8 Big Banks 'Failed' By U.S. Regulators ...

    Banks must submit a living will, describing the company's strategy for orderly resolution ...
  3. MetLife Too Big To Fail Designation "Capricious" ...

    The U.S. District Court opinion releasing MetLife Inc. (MET) from its designation ...
  4. SEC to Advisors: Implement Cybersecurity Plans

    Advisors need to take heed of new SEC guidelines to beef up cybersecurity. Here's ...
  5. Should You Add A Securities License To Your Qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of ...
  1. Are variable annuities safe?

    Discover how several layers of protection are instituted, and how regulatory laws by FINRA and the SEC are utilized to make ...
  2. How are variable annuities regulated?

    Discover the various rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority ...
  3. I completed the Series 6, do I have to complete the entire Series 7?

    After having written the Series 6 examination, there would be significant overlap with the Series 7 in areas such as mutual ...
  4. How should a change in accounting principle be recorded and reported?

    Learn about changes in accounting principle and why businesses make them, as well as the reporting and recording requirements ...
Hot Definitions
  1. Diversification

    A risk management technique that mixes a wide variety of investments within a portfolio. The rationale behind this technique ...
  2. European Union - EU

    A group of European countries that participates in the world economy as one economic unit and operates under one official ...
  3. Sell-Off

    The rapid selling of securities, such as stocks, bonds and commodities. The increase in supply leads to a decline in the ...
  4. Brazil, Russia, India And China - BRIC

    An acronym for the economies of Brazil, Russia, India and China combined. It has been speculated that by 2050 these four ...
  5. Brexit

    The Brexit, an abbreviation of "British exit" that mirrors the term Grexit, refers to the possibility of Britain's withdrawal ...
  6. Underweight

    1. A situation where a portfolio does not hold a sufficient amount of a particular security when compared to the security's ...
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