Securities Exam Definitions

Let’s face it, the series 79 exam is extremely challenging. You will be required to apply deep analytical reasoning and challenging mathematical concepts. Even if …

In this article we are going to help you understand regulations surrounding how investment advisers market services to prospective clients.  The SEC has modernized the …

FINRA has enacted rules to ensure that broker-dealers do not execute orders at prices that are not reasonably related to the market price for a …