FINRA

  1. A Guide To Day Trading On Margin

    A Guide To Day Trading On Margin

    Buying on margin is a good option if you don't have the cash to day trade.
  2. Day Trading: Impoverishing Dilettantes Since ...

    Day Trading: Impoverishing Dilettantes Since ...

    Operating a day-trading account is like owning thoroughbreds or an America’s Cup ...
  3. A Look At 2014's Leading Cannabis Stocks (Part ...

    A Look At 2014's Leading Cannabis Stocks (Part ...

    This is the second missive of a two-part series on cannabis stocks in 2014.
  4. How Do I Know I Can Trust My Financial Advisor?

    How Do I Know I Can Trust My Financial Advisor?

    Savvy investors know to ask an advisor questions on these five essential subjects:
  5. Becoming A Registered Investment Advisor

    Becoming A Registered Investment Advisor

    To become a registered investment advisor requires specific licensing, qualifications ...
  6. On The Record: Communications With The Public

    On The Record: Communications With The Public

    NASD Rule 2211 can make or break your career as a registered principal.
  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. Which statement(s) is/are FALSE about market risk?

    I. It is mitigated by writing calls.II. It includes the risk the investor will lose invested principal.III. It is the same ...
  3. I want to start my own brokerage company, how do I become a member of FINRA?

    Before you read on, note that the Financial Industry Regulatory Authority (FINRA), (previously the National Association of ...
  4. I have a CFA designation. Do I qualify for any exemptions from FINRA licensing exams?

    Unfortunately, a CFA charter does not qualify you for any FINRA exam exemptions.
  1. Series 55

    FINRA Series 55 Exam Guide
  2. Series 62

    FINRA Series 62 Exam Guide
  3. Series 4

    FINRA Series 4 Exam Guide
  4. Series 99

    FINRA/NASAA Series 99 Exam Guide
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