FINRA

  1. The Top 25 Broker-Dealer Firms for 2016 (LPLA, ...

    Find out which independent broker-dealers generate the most revenue and why one major ...
  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.
  3. An SEC Database for Checking Up on Competition

    Financial advisors can use the IAPD disclosure site, which is operated by the SEC, ...
  4. Pay-to-Play Rule Back in Spotlight with Pence ...

    The SEC pay-to-play rule, which limits campaign contributions from financial advisors, ...
  5. Why the Financial Industry is Still Broken

    Most financial professionals are good people, but the U.S. financial system is set ...
  6. Investing Other People's Money: 5 Things You ...

    Learn the five things an advisor should know before investing another person's money, ...
  1. The Top 25 Broker-Dealer Firms for 2016 (LPLA, ...

    Find out which independent broker-dealers generate the most revenue and why one major ...
  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.
  3. 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. Graduate Management Admission Test - GMAT

    A standardized test intended to measure a test taker's aptitude in mathematics and the English language. The GMAT is most ...
  2. Magna Cum Laude

    An academic level of distinction used by educational institutions to signify an academic degree which was received "with ...
  3. Cover Letter

    A written document submitted with a job application explaining the applicant's credentials and interest in the open position. ...
  4. 403(b) Plan

    A retirement plan for certain employees of public schools, tax-exempt organizations and certain ministers. Generally, retirement ...
  5. Master Of Business Administration - MBA

    A graduate degree achieved at a university or college that provides theoretical and practical training to help graduates ...
  6. Liquidity Event

    An event that allows initial investors in a company to cash out some or all of their ownership shares and is considered an ...
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