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. Over-The-Counter - OTC

    Over-The-Counter (or OTC) is a security traded in some context other than on a formal exchange such as the NYSE, TSX, AMEX, ...
  2. Quarter - Q1, Q2, Q3, Q4

    A three-month period on a financial calendar that acts as a basis for the reporting of earnings and the paying of dividends.
  3. Weighted Average Cost Of Capital - WACC

    Weighted average cost of capital (WACC) is a calculation of a firm's cost of capital in which each category of capital is ...
  4. Basis Point (BPS)

    A unit that is equal to 1/100th of 1%, and is used to denote the change in a financial instrument. The basis point is commonly ...
  5. Sharing Economy

    An economic model in which individuals are able to borrow or rent assets owned by someone else.
  6. Unlevered Beta

    A type of metric that compares the risk of an unlevered company to the risk of the market. The unlevered beta is the beta ...
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