FINRA

  1. Why the Fiduciary Rule Might Drive Fees Back ...

    The DoL’s new fiduciary rule will have a big impact upon the fee structure that is ...
  2. What You Don’t Know About Cybersecurity Can Hurt ...

    Cybersecurity incidents are on the rise—advisors that fail to address underlying ...
  3. BlackRock: Robo-Advisors Need More Scrutiny

    Blackrock has urged regulators to take a closer look at their new competition, robo-advisors.
  4. FINRA Fines Ameriprise Over Forgery Scam

    Ameriprise is hit with $850K fine in case involving forgery, wire transfers and evidence ...
  5. Social Media and Compliance: Toeing the Line

    These are things advisors can do to stay in line with compliance guidelines while ...
  6. SEC Adding Social Media Disclosure to Form ADV

    The SEC released a rule noting that advisors will need to list all of their social ...
  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 Top 25 Broker-Dealer Firms for 2016 (LPLA, ...

    Find out which independent broker-dealers generate the most revenue and why one major ...
  3. Top Strategies on How to Become a Stock Broker

    Gunning to be a stock broker and want an edge? Here's some veteran advice.
  4. Is a Google Robo-Advisor on the Horizon?

    It's possible that Google is looking to get into the robo-advisor business, either ...
  1. Are hedge funds regulated by FINRA?

    Discover how FINRA's authority extends to hedge funds, an alternative investment vehicle, and learn what rules these funds ...
  2. How are variable annuities regulated?

    Discover the various rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority ...
  3. Do financial advisors need to pass the Series 7 exam?

    Learn about the various securities licensing exams, such as the Series 7 exam, and which licenses are required for financial ...
  4. Do financial advisors need to be approved by FINRA?

    Learn about whether a financial advisor may be required to be approved by FINRA, and what exams a financial advisor needs ...
  1. Series 57

    FINRA Series 57 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
Hot Definitions
  1. Trickle-Down Theory

    An economic idea which states that decreasing marginal and capital gains tax rates - especially for corporations, investors ...
  2. Derivative

    A security with a price that is dependent upon or derived from one or more underlying assets.
  3. Fiduciary

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

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

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

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