Find out everything you need to know about the Series 65 license, the requirements you need to get it, and what you can do ...

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 ...

Individuals and organizations today require expert counsel when making financial decisions. Because of the high demand for ...

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 ...

Connecting decision makers to a dynamic network of information, people and ideas, Bloomberg quickly and accurately delivers business and financial information, news and insight around the world ...

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 ...

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 ...

Becoming a stockbroker has enormous upside income potential. According to PayScale.com, the average salary for a stockbroker in 2024 is $65,871, with the potential for total compensation to exceed ...