Financial Industry Regulatory Authority

  1. Amazon, Google Lead Contenders for SEC’s Big ...

    Amazon and Google are the front-runners for SEC's ambitious cloud-hosting project ...
  2. The Short and Distort: Stock Manipulation in ...

    High-quality stock reports needn't be confused with stock manipulators' dramatic ...
  3. The Importance of Personal Finance Knowledge

    Financial literacy rates are falling among Americans. Building this knowledge is ...
  4. Why You Should Grill Your Advisor About Repapering

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

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

    The CFP Board of Standards regularly disciplines advisors for sidestepping the rules. ...
  1. Amazon, Google Lead Contenders for SEC’s Big ...

    Amazon and Google are the front-runners for SEC's ambitious cloud-hosting project ...
  2. Why This Billionaire Is Cutting Hedge Fund Fees ...

    Discover the struggles of hedge funds and Tudor Investment Corporation's Paul Tudor ...
  3. 5 Of 8 Big Banks 'Failed' By U.S. Regulators ...

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

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

    Advisors need to take heed of new SEC guidelines to beef up cybersecurity. Here's ...
  6. 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. Fiduciary

    A fiduciary is a person who acts on behalf of another person, or persons to manage assets.
  2. Sharpe Ratio

    The Sharpe Ratio is a measure for calculating risk-adjusted return, and this ratio has become the industry standard for such ...
  3. Death Taxes

    Taxes imposed by the federal and/or state government on someone's estate upon their death. These taxes are levied on the ...
  4. Retained Earnings

    Retained earnings is the percentage of net earnings not paid out as dividends, but retained by the company to be reinvested ...
  5. Demand Elasticity

    In economics, the demand elasticity refers to how sensitive the demand for a good is to changes in other economic variables. ...
  6. Dark Pool

    A dark pool is a private financial forum or exchange for trading securities.
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