Financial Industry Regulatory Authority

  1. How To Become A Corporate Board Member

    How To Become A Corporate Board Member

    We look at how corporate boards are constructed, and how investors can get involved. ...
  2. Are Equity-Indexed Annuities Right For You?

    Are Equity-Indexed Annuities Right For You?

    Equity-indexed annuities can be confusing to understand, but for conservative investors, ...
  3. Picking Your First Broker

    Picking Your First Broker

    If you're a rookie investor, your first big investment decision should be an informed ...
  4. Dissecting Declarations, Ex-Dividends And Record ...

    Dissecting Declarations, Ex-Dividends And Record ...

    Understanding the dates of the dividend payout process can be tricky. We clear up ...
  5. The Dirt On Delisted Stocks

    The Dirt On Delisted Stocks

    Listed securities are "the cream of the crop". Find out how a firm can lose that ...
  6. Tips For Passing The Series 6 Exam

    Tips For Passing The Series 6 Exam

    Find out what you can do during the test to make sure you get a passing score.
  1. How does FINRA differ from the SEC?

    With all the financial organizations out there, knowing what they all do can be as complicated as knowing where to invest. ...
  2. What certification series does one need to be a bond broker?

    One major requirement before one can become a bond broker is to pass the General Securities Representative Exam, commonly ...
  3. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ...
  4. If my employment with my current firm terminates relatively soon, do I have two years ...

    Yes. When your employment ends with the current firm, your registration with the Financial Industry Regulatory Authority ...
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