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. 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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