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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 […]
Determining if you are required to take the series 99 exam can depend on many factors. In some cases it is very straightforward, and in other cases the question may be more complex. If your firm tells you that you must pass the series 99 exam, regardless of whether or not FINRA would require you […]
Should I take the series 7 or the Series 79 exam? How do you know if your investment industry job duties or the duties of one of your reps require a Series 7 license, Series 79 license or both? This depends on the activities being performed. The General Securities Representative (Series 7) examination covers a […]
In this article we are going to take a look at employee conduct and the conduct of registered representatives. Virtually all FINRA exams will test the rules and regulations relating to professional conduct in the Securities industry. This article will highlight a number of prohibited practices that you are likely to see on your […]
In this article we are going to take a look at the role of broker-dealers who operate in the NASDAQ environment. If I were to ask you where NASDAQ is, it would be much the same as me asking you where is the internet– it’s nowhere and it’s everywhere. It’s a computer network throughout the […]
In this article we are going to take a look at how corporate securities are offered to investors for sale for the very first time. When we take a look at offering corporate securities we have to start a review with the Securities Act of 1933. The Securities Act of 1933 regulates the primary market. […]
If you are preparing for the California life and health insurance exams here are the terms and Concepts you must know prior to sitting for your exam The California Life and Health Insurance Exam will need to know certain basic concepts relating to the non forfeiture provisions of life and health policies in order to […]
Here are 10 terms you must know in order to successfully complete the series 22 exam: 1031 exchange Internal Revenue Code 1031 allows investors to exchange certain types of properties without recognizing a capital gain or Capital loss on the exchange. The property exchange must include properties of like-kind and must be held for investment […]
There are several key differences between the series 65 and series 66 exams. Determining which exam you should take will depend on your particular circumstances. Regardless of which exam you choose to take, our series 65 and 66 training packages offer you a greenlight money back pass guarantee The Series 65 is the Uniform investment […]
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