FINRA

  1. Pay-to-Play Rule Back in Spotlight with Pence ...

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

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

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

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

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

    RIAs may be entering an era of greater oversight by the Securities and Exchange Commission. ...
  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. Duration

    A measure of the sensitivity of the price (the value of principal) of a fixed-income investment to a change in interest rates. ...
  2. Dove

    An economic policy advisor who promotes monetary policies that involve the maintenance of low interest rates, believing that ...
  3. Cyclical Stock

    An equity security whose price is affected by ups and downs in the overall economy. Cyclical stocks typically relate to companies ...
  4. Front Running

    The unethical practice of a broker trading an equity based on information from the analyst department before his or her clients ...
  5. After-Hours Trading - AHT

    Trading after regular trading hours on the major exchanges. The increasing popularity of electronic communication networks ...
  6. Omnibus Account

    An account between two futures merchants (brokers). It involves the transaction of individual accounts which are combined ...
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