Series 7

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    Find out which is exam is easier: The Chartered Financial Analyst (CFA) exam, or ...
  2. Internal Advisor Consultant: Career Path & Qualifications

    Discover more about the responsibilities of an internal advisor consultant, the average ...
  3. Broker-Dealer Industry 101: The Landscape

    Independent broker-dealers are a great choice for experienced, self-starter planners ...
  4. RIAs and Brokers: What's the Difference?

    RIAs and brokers are held to different standards when providing investment advice. ...
  5. Steps to Starting Up an Independent Broker Dealer

    Launching your own broker-dealer is a lot of work, but the potential payoff is great, ...
  6. How To Answer Option Questions On The Series ...

    Learn how to answer option questions on the Series 7 exam. Pass your Series 7 exam ...
  1. 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 ...
  2. Do financial advisors have to be licensed?

    Understand why all financial advisors have to be licensed, and identify the specific licenses you must obtain to carry out ...
  3. What are the differences between the Series 6 exam and the Series 7 exam?

    Learn about the regulatory exams needed to become a limited or registered representative and the main differences between ...
  1. Series 7

    FINRA Series 7 Exam Guide
Hot Definitions
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    A regulation implemented on Jan. 1, 1994, that decreased and eventually eliminated tariffs to encourage economic activity ...
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    An economic idea which states that decreasing marginal and capital gains tax rates - especially for corporations, investors ...
  3. Derivative

    A security with a price that is dependent upon or derived from one or more underlying assets.
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    A fiduciary is a person who acts on behalf of another person, or persons to manage assets.
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  6. Death Taxes

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