What is FINRA? FINRA, which stands for Financial Industry Regulatory Authority, is a non-governmental organization that serves as a self-regulatory body for the financial industry in the United States. It was established in 2007 as a result of the merger between the National Association of Securities Dealers (NASD) and the … …
What is the Series 66 Exam? Passing the Series 66 Exam is a crucial step in obtaining the necessary licenses to work as an investment adviser representative. It is often taken in conjunction with the Series 7 Exam, which focuses on general securities knowledge. The Series 66 Exam is a … …
What is Series 57 Exam? The Series 57 Exam is a regulatory examination administered by the Financial Industry Regulatory Authority (FINRA). It is designed to test the knowledge and competency of individuals who want to become registered as securities traders. The exam is specifically tailored for individuals who will be … …
Series 9/10 Exam: Overview, Sample Questions, Similar Tests [FINRA EXAMS catname] The Series 9/10 Exam is a comprehensive examination administered by the Financial Industry Regulatory Authority (FINRA). It is designed for individuals who wish to become registered as general securities sales supervisors. This exam is commonly taken by individuals who … …
What is Series 7? The Series 7 exam covers a wide range of topics related to the securities industry, including investment products, securities regulations, trading, and customer accounts. It is designed to test the knowledge and skills necessary to perform the duties of a registered representative. Passing the Series 7 … …
Series 6: Everything You Need to Know The Series 6 exam is a licensing exam administered by the Financial Industry Regulatory Authority (FINRA) for individuals who wish to become registered representatives and sell certain types of investment products. This article provides an overview of the Series 6 exam, including its … …
Series 3: Explained Individuals who pass the Series 3 exam will be eligible to register with the Commodity Futures Trading Commission (CFTC) as well as become members of the National Futures Association (NFA). These regulatory bodies oversee the activities of commodity futures brokers and associated persons, ensuring that they adhere … …