In this article we are going to help you understand regulations surrounding how investment advisers market services to prospective clients. The SEC has modernized the advertising rules for investment advisers. The new rule sets standards regarding the use of testimonials, performance-based presentations and the use of third-party rating systems. The term advertisement as defined under […]
FINRA has enacted rules to ensure that broker-dealers do not execute orders at prices that are not reasonably related to the market price for a security. An Executive Vice President of FINRA’s Market Regulation Department or Transparency Services Department or any officer designated by the Executive Vice President may declare a transaction to be clearly […]
FINRA Rule 3241 is designed to address the potential conflicts of interest that can arise when a registered person is named as a beneficiary, Trustee, or executor of a client’s estate. The intent of this rule is to ensure that registered individuals act appropriately and that the employing member carefully supervises the actions of registered […]
In this article we are going to provide you with a list of the 10 topics you must know in order to pass your SIE exam. 1) Primary Market – The primary Market consists exclusively of issuer to investor transactions. In a primary Market transaction the issuing entity receives the proceeds of the sale. For […]
Many test-takers who are preparing for the series 10 exam find the MSRB confirmation requirements to be particularly challenging. There are many reasons this area causes test takers so much anxiety. First off, most representatives do not transact a significant amount of business in any of these municipal securities. Secondly, the rules and regulations regarding […]
In this article we are going to review everything you need to know about equity securities and the rights of common stockholders to pass your SIE exam Introduction to Equity Securities When starting off a review of securities, it’s important to start off with a definition of what a security is. A great place to […]
In this article we are going to review a significant amount of information relating to the supervision of retail communications. As you prepare to take your principal level exam, you will want to make sure that you have mastered these topics. This information has been taken directly from our textbooks, video lectures and feedback from […]
Since FINRA introduced remote online testing, we have had many students elect to take their FINRA exams in this new format. We have spoken to literally hundreds of students who have taken the exam either from their office or home. The results, opinions and experiences varied greatly among the candidates. In this article we will […]
In this article we are going to review a number of different features regarding payment-in-kind bonds. Investors who purchase this type of security may receive a coupon rate that is paid in additional bonds, shares of preferred stock or a combination of cash and securities. Some issuers, especially those who may be experiencing cash-flow problems […]
FINRA has announced that remote Online testing is now live and available for test takers. Here is a comprehensive overview of the remote testing process. Prometrics Proproctor is designed to make it easy to test anywhere, anytime from your own office or even from the comfort of your home. For Test takers, getting started is […]
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