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The SEC requires broker dealers to adhere to strict financial responsibility rules. These rules include the customer protection rule 15c3-3 and the net capital rule 15c3-1. The net capital rules have always been part of the Securities Exchange Act of 1934 and require broker-dealers to maintain a minimum level of financial solvency. The more complex […]
In this article we are going to provide you with a comprehensive review regarding the outside business activities of associated persons and private Securities transactions. Both of these topics are hot buttons for FINRA and are not only widely tested on their exams, but are also closely scrutinized during compliance examinations by FINRA staff members. […]
All broker-dealers must conduct an independent audit of their anti money laundering program prior to the end of each year. To assist you in avoiding common mistakes and oversights that could become comments in your next AML Testing report, please review the following list of common findings identified during AML testing and recommendations on how […]
In our previous article we reviewed the three ways for purchasing an annuity contract. Let’s move forward here, and get a little bit more detailed about some of the specifics regarding the operation of the annuity’s separate account. When an investor contributes money into a variable annuity product, that money goes into the separate account […]
In this article we are going to examine the use of social media and its impact on investment advisors and their representatives. Additionally, we will explore best practices for investment advisors to disclose potential conflicts of interest and to manage their fiduciary duty to the client. LinkedIn, this feature is almost impossible to ignore. Why […]
In this article we are going to review what you need to know about variable annuities to pass your FINRA exam. An annuity is a contract between an individual and an insurance company. Once the contract is entered into, the individual becomes known as the annuitant. There are several different types of annuity contracts that […]
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 most 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 […]
If you are looking to take the Life Insurance exam and become licensed to sell insurance, here are 25 terms you must know in order to successfully pass that test. Face amount – The death benefit payable on a life policy; may also be called limit of liability. Cash value – Money accumulated in a […]
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