In this article we are going to take a look at the impact Economic Policy can have on the overall health of the business cycle. Additionally, we will look at the approach taken by various schools of economic thought to try to guide the economy through the business cycle. Classical economics Classical economics originated in […]
In this article We are going to show you some of the must know tips and tricks to help you pick the best answer on your FINRA exam. There will be times on your exam when you are not sure of the answer. There will also be times on your exam when you have No […]
Can I just take the practice questions and pass the exam? NO! it is amazing how many times we hear people asking this question. Even worse, is how many times we hear that someone has failed the exam because all they did was take practice questions or maybe just “skimmed” through the book. Just taking […]
The series 99 exam can be challenging for many operations professionals. Here are 20 terms and concepts you must know to pass the series 99 exam. Order Tickets Prior to executing a customer’s order the representative must fill out the appropriate order ticket and present it to the trading department or wire room for execution. […]
How to prepare for the exam using the series 7 textbook Sitting down to prepare for the Series 7 Exam can seem like a daunting task when students open up a 600-page textbook. Many test-takers don’t know how to schedule their time nor how to begin to read through the text. Here we provide some […]
In this article we’re going to review US Treasury securities, agency securities and collateralized mortgage obligations or CMOs. The United States government is one of the largest issuers of debt in the world. Treasury securities are issued in a variety of forms, and with a variety of maturities. We will start our review with the […]
In this article we are going to examine the recommendation process and review how recommendations are made to customers. We will also analyze whether or not recommendations are suitable for the customers based on their particular situation. All recommendations must be suitable. The registered representative, when evaluating a customer’s financial status, investment objective, and other […]
In this article we’re going to take a look at debt securities. We are going to review how and why someone would purchase a bond. A bond, when purchased by an investor, represents a loan to the issuer in exchange for a stated interest rate. The investor’s relationship with the issuer is as that of […]
In this article we are going to examine some of the requirements of Regulation Best Interest also known as Regulation BI or Reg BI. Regulation Best Interest Regulation Best Interest (Reg BI) was adopted by the SEC in June of 2019 as an amendment to The Securities Exchange Act of 1934. All broker dealers, investment […]
In this article we are going to examine some of the complex issues that can arise when registered representatives use social media for business purposes. In addition to the requirements for registered Representatives who use social media we will look at some of the compliance responsibilities for the employing broker-dealer. The use of social media […]
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