Back in 2018, Financial Industry Regulatory Authority (FINRA) streamlined its testing structure by consolidating the ...

Thomas / Getty Images ... Essentials (SIE) exam is a corequisite for the Series 6 exam but does not require firm sponsorship. The Financial Industry Regulatory Authority (FINRA) administers ...

"Series 6 Complete Self-Study Solution." FINRA. "Series 6 – Investment Company and Variable Contracts Products Representative Exam." FINRA. "SIE Exam and Exam Restructuring Frequently Asked." ...

FINRA ensures brokers are licensed and transactions are fraud-free, protecting investor interests. The agency mandates truthful ads and suitability of sold securities, directly impacting ...

Frms and advisors were hit with a phishing scam this week from fraudsters imitating FINRA executives, according to the brokerage regulator. According to a FINRA cybersecurity alert issued ...

The three ex-brokers agreed to Finra’s findings in separate settlements without admission or denial. When brokers churn clients’ positions in their accounts, they generate revenue that they ...

Looking back on the NBA’s 75 Years in SI PhotosWe handpicked some of our favorite shots from over the decades. Ohio State Vs. Michigan: Looking Back on ‘The Spot,’ Five Years OnIn the ...

The U.S. Financial Industry Regulatory Authority Inc. (FINRA) is tightening the rules around lending activity between brokerage reps and their clients. The self-regulatory organization has adopted ...

Characterizing AI washing as a type of "flavor of the month" marketing, Sochard noted that FINRA seeks to evaluate the accuracy of marketing claims. "If there's a prospectus, we'll look at that, or we ...

‘Raised roads, walls and T junctions all over it. Structures inside walled compounds,’ he added, pointing to high-quality ...

Now, the financial institutions are scaling back remote work options, although FINRA claims the banks’ decisions run counter to the motivations behind the new rules. “Our new Residential ...