Financial Industry Regulatory Authority

  1. The Short and Distort: Stock Manipulation in ...

    High-quality stock reports needn't be confused with stock manipulators' dramatic ...
  2. Dissecting Declarations, Ex-Dividends and Record ...

    Understanding the dates of the dividend payout process can be tricky. We clear up ...
  3. Expect FINRA to Ask These Culture Questions

    This month, FINRA kicks off its culture examinations for brokerage firms. Here's ...
  4. High-Pressure Sales Tactics You Should Be Aware ...

    Beware of financial advisors (and others) who use these common high-pressure sales ...
  5. Breaking Down Financial Securities Licenses

    Find out which exam you need to begin your career as an investment professional. ...
  6. How To Handle A Serious Dispute With Your Broker

    Find out what to do if you have a dispute with your broker.
  1. 5 Of 8 Big Banks 'Failed' By U.S. Regulators ...

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

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

    Advisors need to take heed of new SEC guidelines to beef up cybersecurity. Here's ...
  4. 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. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  2. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  3. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  4. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
  5. Society for Worldwide Interbank Financial Telecommunications ...

    A member-owned cooperative that provides safe and secure financial transactions for its members. Established in 1973, the ...
  6. Generally Accepted Accounting Principles - GAAP

    The common set of accounting principles, standards and procedures that companies use to compile their financial statements. ...
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