FINRA

  1. More Reasons for Advisors to Be Wary of the SEC

    It looks like the SEC is expanding its oversight regarding RIA compliance in the ...
  2. Is Greater Oversight of RIAs Coming?

    RIAs may be entering an era of greater oversight by the Securities and Exchange Commission. ...
  3. How to Avoid Advisors Who've Been Disciplined

    It's not hard to find out if a potential financial planner has a shady past. Here's ...
  4. Here's How to Duck a FINRA Slap on L Shares

    Regular and L-share annuity contracts come with back-end surrender charges that clients ...
  5. Robo-Advisors Face Regulatory Scrutiny

    FINRA and other regulators are starting to put robo-advisors under a microscope. ...
  6. Events in 2016 That'll Alter Your Retirement ...

    Retirement savers who are trying to see what lies ahead can expect these changes ...
  1. Is a Google Robo-Advisor on the Horizon?

    It's possible that Google is looking to get into the robo-advisor business, either ...
  2. Top Strategies on How to Become a Stock Broker

    Gunning to be a stock broker and want an edge? Here's some veteran advice.
  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 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
Hot Definitions
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