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  1. The Cost Of Hiring A New Employee

    Hiring a new employee means more than just a salary ... a lot more.
  2. How To Become A Self-Taught Finance Expert

    A wealth of information is at your fingertips, and getting started is easy.
  3. Advisors: Tips For Providing For Older Clients

    Make sure the needs of baby boomers and their parents are met - if not exceeded.
  4. 7 Financial Advisor Red Flags

    Not all financial advisors are equally competent. When in doubt, watch out for these warning signs.
  5. Are My Investments Insured Against Loss?

    Money invested in a brokerage account has some protection, but that doesn't mean you can't lose it.
  6. Series 65 Exam Prep: The Investment Advisor

    Before you take the series 65, you need to understand who is an investment advisor as defined by the exam.
  7. 5 Must Read Finance Books

    We'll look at 5 financial books that are perennial favorites and what has made them so popular.
  8. Variable Vs. Variable Universal Life Insurance

    Do you know why you might need one policy versus the other? Read on to find out.
  9. American Customer Satisfaction Index - ACSI

    An index that provides information on how satisfied U.S. consumers are with the quality of products and services available ...
  10. Principal-Protected Notes: Hedge Funds For Everyday Investors

    PPNs guarantee to return at least 100% of the original investment and have the potential to return much more.
  11. Public Relations (PR)

    Public relations is the art of managing the spread of information about an individual or company is disseminated to the public, ...
  12. Customer's Loan Consent

    An agreement signed by the customer of an investment firm. The customer's loan-consent form authorizes the firm to borrow ...
  13. Why Financial Advisors Disagree

    Financial advisors sometimes offer conflicting opinions that can be confusing for many investors.
  14. Working With Islamic Finance

    There is no division between the spiritual and the secular in this type of socially responsible investing.
  15. The de Minimis clause for investment advisers means:

    A. An investment adviser must register with the state if it holds less than $25 million in assets.B. An investment adviser ...
  16. According to the U.S., prohibited conduct of an investment advisor is defined as:

    I. Fraudulent investment advice.II. Distribution of unregulated advertising materials.III. Misleading filings.IV. Making ...
  17. Investment advisors must register with the SEC when their assets under management total what amount?

    A. More than $20 millionB. More than $25 millionC. $25 million to $30 millionD. More than $30 million Correct Answer: DFirms ...
  18. Cold Call Without Getting The Cold Shoulder

    Learn how to warm up prospective clients to your business and your abilities.
  19. A Deeper Look At Alpha

    The Jensen index helps investors compare realized returns to what should've been achieved.
  20. Should You Put Your Faith In A Trust?

    Many institutions want a piece of your portfolio, but trusts can provide a one-stop shop.
  21. What possible past activities will prevent me from becoming a Registered Representative?

    There are several events that could either prevent a person from becoming a Registered Representative, or that will result ...
  22. Maximizer

    A brand of customer relationship management software popularly used by brokers and investment advisors for tracking clients ...
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Hot Definitions
  1. Retirement Planning

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

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

    A transaction that can cancel out a forward contract that has the same value date.
  4. 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 ...
  5. Solvency

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

    A reduction in the ownership percentage of a share of stock caused by the issuance of new stock. Dilution can also occur ...
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