FINRA

  1. Investing Other People's Money: 5 Things You ...

    Learn the five things an advisor should know before investing another person's money, ...
  2. FINRA Issues Crowdfunding Warning

    Participating in crowdfunding deals can be riskier than many investors think. Knowing ...
  3. More Reasons for Advisors to Be Wary of the SEC

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

    RIAs may be entering an era of greater oversight by the Securities and Exchange Commission. ...
  5. 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 ...
  6. 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 ...
  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 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. Put Option

    An option contract giving the owner the right, but not the obligation, to sell a specified amount of an underlying security ...
  2. Frexit

    Frexit – short for "French exit" – is a French spinoff of the term Brexit, which emerged when the United Kingdom voted to ...
  3. AAA

    The highest possible rating assigned to the bonds of an issuer by credit rating agencies. An issuer that is rated AAA has ...
  4. GBP

    The abbreviation for the British pound sterling, the official currency of the United Kingdom, the British Overseas Territories ...
  5. Diversification

    A risk management technique that mixes a wide variety of investments within a portfolio. The rationale behind this technique ...
  6. European Union - EU

    A group of European countries that participates in the world economy as one economic unit and operates under one official ...
Trading Center