Retirement

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  1. Do I need to be a U.S. resident to take the Series 63 exam as an individual?

    No. The Financial Industry Regulatory Authority or FINRA, (previously the National Association of Securities Dealers), does ...
  2. What is the difference between Series 9/10 and Series 24 qualification exams?

    Both Series 9/10 and 24 are the exams that must be completed by a principal before he or she can supervise certain sales ...
  3. What is a trailing commission?

    Very simply, a trailing commission is money you pay an advisor each year that you own an investment. The purpose of the fee ...
  4. What is a rainmaker?

    A rainmaker is any person who brings clients, money, or respect to an organization based solely on his or her association. ...
  5. 10 Retirement-Wrecking Moves

    Don't let these common mistakes put a crack your nest egg.
  6. Risk And Diversification

    Safeguarding your portfolio involves a few simple steps.
  7. Who's Looking Out For Investors?

    If your account has been mishandled, FINRA and the SEC are among several organizations that can help.
  8. So, You Want To Take Your Broker To Court

    Find out how to file a claim with your broker and what you can expect throughout the process.
  9. Series 7

    FINRA Series 7 Exam Guide
  10. Series 66

    FINRA/NASAA Series 66 Exam Guide
  11. Series 26

    FINRA/NASAA Series 26 Exam Guide
  12. Series 65

    FINRA/NASAA Series 65 Exam Guide
  13. Series 6

    FINRA Series 6 Exam Guide
  14. Series 63

    FINRA/NASAA Series 63 Exam Guide
  15. Agency Cross

    A transaction in which an investment adviser acts as the broker for both his client and the other party to the transaction. ...
  16. Clearing Fee

    A fee charged by a clearing house for its services. A clearing fee is most often associated with the trading of futures. ...
  17. Form T

    A form that FINRA requires brokers to use for reporting equity trades executed outside of normal market hours. Form T trades ...
  18. Two-Sided Market

    A market in which market makers (or specialists) are required to give both a firm bid and firm ask for each security in which ...
  19. Riskless Principal

    A trade in a security that involves two orders, with the execution of one of these orders dependent upon the receipt or execution ...
  20. Round Trip Transaction Costs

    All costs associated with opening and closing a financial or other transaction. Round trip transaction costs include commissions, ...
  21. Double Dipping

    For brokerage firms, when a broker puts commissioned products into a fee-based account. The broker makes money from both ...
  22. Series 11 License - Assistant Representative - Order Processing

    A securities license, administered by the Financial Industry Regulatory Authority (FINRA), for sales assistants who can accept ...
  23. Series 26

    A securities license entitling the holder to register as a limited principal who supervises and manages sales activities ...
  24. Series 27

    A securities license entitling the holder to become a chief financial officer for a FINRA member firm. The Series 27 exam ...
  25. Series 3

    A securities license entitling the holder to sell commodities or futures contracts.
  26. Series 30

    A securities license entitling the holder to become a futures branch office manager.
  27. Series 31

    A securities license entitling the holder to sell managed futures (funds).
  28. Series 4

    A securities license entitling the holder to supervise options sales personnel and compliance issues. Before taking the Series ...
  29. Series 55

    A securities license entitling the holder to actively participate in equity trading.
  30. Series 9/10

    A securities license entitling the holder to supervise branch activities. Before taking the Series 9/10 exam, you must have ...
  31. Investment Advisers Act of 1940

    A piece of legislation passed in 1940 that, among other things, defined the role and responsibilities of an investment advisor. ...
  32. Period Certain

    An annuitization-method option with which the annuitant selects a specific time period for which the annuity income payments ...
  33. Fulcrum Fee

    An additional, performance-based fee an advisor charges a client. The advisor charges the fee when he or she achieves a return ...
  34. North American Securities Administrators Association - NASAA

    A voluntary organization, established in 1919, of securities regulators whose aim is to protect investors who buy securities ...
  35. Fee-Based Investment

    An investment account in which the advisor's compensation is based on a set percentage of the client's assets instead of ...
  36. Rules Of Fair Practice

    A set of rules and regulations developed by the National Association Of Securitie Dealers (NASD) or what is now called the ...
  37. Registered Options Principal - ROP

    An employee at a brokerage firm that is responsible for supervising options' exposure and the trading activities on options ...
  38. Taping Rule

    A rule created by the National Association of Securities Dealers (NASD) that requires that special supervisory procedures ...
  39. Immediate Family

    A person's smallest family unit, consisting of the closest relatives, such as parents, siblings and children. Immediate ...
  40. Wrap Fee

    A comprehensive charge levied by an investment manager or investment advisor to a client for providing a bundle of services, ...
  41. Head Trader

    The manager of a trading business. He or she is responsible for the positions, risk and ultimate profitability of that business. ...
  42. Accredited Personal Financial Planning Specialist

    A professional designation for Certified Public Accountants who have completed the required coursework and passed an examination ...
  43. Authorized Investment

    Dictated by state laws or by trust instruments designed to restrict the kinds and amounts of investments allowed within a ...
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Hot Definitions
  1. Time In Force

    Time in force is a special instruction used when placing a trade to indicate how long an order will remain active before ...
  2. Retirement Planning

    Retirement planning is the process of determining retirement income goals and the actions and decisions necessary to achieve ...
  3. Drawdown

    The peak-to-trough decline during a specific record period of an investment, fund or commodity. A drawdown is usually quoted ...
  4. Inverse Transaction

    A transaction that can cancel out a forward contract that has the same value date.
  5. Redemption

    The return of an investor's principal in a fixed income security, such as a preferred stock or bond; or the sale of units ...
  6. Solvency

    The ability of a company to meet its long-term financial obligations. Solvency is essential to staying in business, but a ...
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