Uniform Securities Act

  1. Succeeding At The Series 63 Exam

    Your career as a securities agent begins with this test. We'll show you how to score ...
  2. Series 63, Series 65 Or Series 66?

    When joining the world of investment professionals, you must take the right exams. ...
  3. The Debt Ratings Debate

    Lack of competition and potential conflicts of interest have called the value of ...
  4. Advice For Finding The Best Advisor

    There are several areas you should research when making this important decision. ...
  1. The maximum fine that can be assessed for a violation of the USA is what amount?

    The maximum fine that can be assessed for a violation of the USA is what amount? a. $3,000b. $5, 000c. $10,000d. $20,000 The ...
  2. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

    Not always. According to the Financial Industry Regulatory Authority (FINRA), (formerly National Association of Securities ...
Hot Definitions
  1. Liquidation Margin

    Liquidation margin refers to the value of all of the equity positions in a margin account. If an investor or trader holds ...
  2. Black Swan

    An event or occurrence that deviates beyond what is normally expected of a situation and that would be extremely difficult ...
  3. Inverted Yield Curve

    An interest rate environment in which long-term debt instruments have a lower yield than short-term debt instruments of the ...
  4. Socially Responsible Investment - SRI

    An investment that is considered socially responsible because of the nature of the business the company conducts. Common ...
  5. Presidential Election Cycle (Theory)

    A theory developed by Yale Hirsch that states that U.S. stock markets are weakest in the year following the election of a ...
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