Client-facing employees of broker-dealers are required to be licensed through FINRA. This is done by passing one of its "Series" Exams. The most famous exam is the Series 7, but it is likely any ...

He is a CFA charterholder as well as holding FINRA Series 7, 55 & 63 licenses. He currently researches and teaches economic sociology and the social studies of finance at the Hebrew University in ...

Passing the Series 79 exam is required for applicants of entry-level jobs as investment banking representatives. In addition to the Securities Industry Essentials (SIE) exam, this test is a ...

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 ...

An arbitration panel convened by brokerage industry self-regulator Finra agreed, ordering Sennett to pay nearly $2.56 million in compensatory damages and enjoining her from “soliciting any ...

"Such AI washing, whether it's by companies raising money or by financial intermediaries … may violate the securities laws," Gensler said. In SEC cases filed this year against companies accused of AI ...

At present, the 26 stock underwriters, approved by the State Securities Regulatory Commission, are busy selecting the 50-60 shares out of more than 200 applicants to be the first batch listed on ...

The three brokers, George Apolonides, also known as George Apollo, Costos Tsamos, also known as Gus Tsamos, and Kyle Manning each worked at Spartan Capital Securities in Long Island from January ...

SMC Global will be entering cricket through their Associate Partnership of India’s upcoming Tour of South Africa, a 4 match ...

(CSE: QIMC) (FSE: 7FJ) ("QI Materials", "QIMC" or the "Company")-QIMC is pleased to announce that on October 8, 2024, the Financial Industry Regulatory Authority (FINRA) processed a Form 211 ...

Louis and Elizabeth DeLuca of Jupiter, Florida, and the business allege they sustained significant losses related to investments in complex securities known as structured notes, according to a ...

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