Financial Industry Regulatory Authority

  1. Why You Should Grill Your Advisor About Repapering

    If your financial advisor was not previously bound to a fiduciary standard, there ...
  2. Why This Billionaire Is Cutting Hedge Fund Fees ...

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

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

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

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

    The U.S. District Court opinion releasing MetLife Inc. (MET) from its designation ...
  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. Cyclical Stock

    An equity security whose price is affected by ups and downs in the overall economy. Cyclical stocks typically relate to companies ...
  2. Front Running

    The unethical practice of a broker trading an equity based on information from the analyst department before his or her clients ...
  3. After-Hours Trading - AHT

    Trading after regular trading hours on the major exchanges. The increasing popularity of electronic communication networks ...
  4. Omnibus Account

    An account between two futures merchants (brokers). It involves the transaction of individual accounts which are combined ...
  5. Weighted Average Life - WAL

    The average number of years for which each dollar of unpaid principal on a loan or mortgage remains outstanding. Once calculated, ...
  6. Real Rate Of Return

    The annual percentage return realized on an investment, which is adjusted for changes in prices due to inflation or other ...
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