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Qualification Exams FINRA.org

WEBQualification Exams. To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular …

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URL: https://www.finra.org/registration-exams-ce/qualification-exams

National Study by FINRA Foundation Finds U.S. Adults’ Financial

WEBOn many measures of financial capability, U.S. adults generally fared better in 2021 than in the decade leading up to the pandemic, according to the FINRA Investor Education …

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Schedule an Exam FINRA.org

WEB1. Enroll for an Exam. 2. Schedule an Exam. 3. On the Day of Your Exam. Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online …

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Insurance Agents FINRA.org

WEBAn insurance agent is a salesperson who can help individuals and companies obtain life, health or property insurance policies and other insurance products including different …

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Series 7 – General Securities Representative Exam FINRA.org

WEBThe Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is …

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Fixed Income Data FINRA.org

WEBFINRA provides comprehensive, real-time access to fixed income security and trade information compiled from multiple sources, including but not limited to TRACE, Refinitiv, …

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What Does It Mean to Be Pre-Tax or Tax-Advantaged

WEBPre-tax refers to a benefit, such as a health spending account (HSA), that’s deducted from your paycheck before taxes are calculated. Tax-deferred refers to …

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Equity ATS Firms FINRA.org

WEBAs of January 22, 2024ATS NameATS IDFirm NameCommentABE ATSABEX303 ALTERNATIVES LLC AMERICAN LEDGER ATSCSTNAMERICAN LEDGER …

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NASD OFFICE OF HEARING OFFICERS

WEB5 During the relevant period, Rooney served as the Firm’s President and Director of Research.9 In addition, Rooney owned 60% of Hornblower Financial, Hornblower’s …

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Insurance FINRA.org

WEBEssentialsThe basic purpose of life insurance is to provide financial support to people who depend on you financially—such as your spouse, partner, children or other loved …

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Securities Industry Essentials® (SIE®) Exam FINRA.org

WEBOverview. The Securities Industry Essentials ® (SIE ®) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a …

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FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF …

WEBDECISION. I. PROCEDURAL HISTORY. 1. On September 15, 2008, the FINRA Department of Enforcement (“Enforcement”) filed a Complaint with the Office of Hearing …

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Bonds FINRA.org

WEBBonds and bond funds can help diversify your portfolio. Bond prices fluctuate, although they tend to be less volatile than stocks. Some bonds, particularly U.S. Treasury securities, …

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Avoiding Fake Check Scams FINRA.org

WEBCall (301) 590-6500 to speak with a FINRA staff member. According to the latest data from the Federal Trade Commission, complaints about fake check scams …

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Should You Exchange Your Life Insurance Policy

WEBThe tax code says that the old insurance policy must be exchanged for a new policy—you cannot receive a check and apply the proceeds to the purchase of a …

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Brokerage Accounts FINRA.org

WEBBrokerage Accounts. Brokerage accounts allow investors to buy and sell numerous types of investments. When opening a brokerage account, investors have two …

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2018 FINRA New York Region Member Forum Speaker …

WEBHazel Cohen is a principal regulatory coordinator in Member Regulations – Sales Practice.Ms. Cohen has been with FINRA for 14 years. Ms. Cohen has completed the …

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Regulatory Notice 22-31 FINRA.org

WEBSummary Member firms are required to make reasonable efforts to obtain the name of and contact information for a trusted contact for a non-institutional …

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What You Should Know About Life Settlements FINRA.org

WEBA life settlement, sometimes also called a senior settlement, involves selling an existing life insurance policy to a third party—a person or an entity other than the …

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Key Economic Indicators Every Investor Should Know FINRA.org

WEBNonfarm payrolls and the unemployment rate are considered key indicators of the health of the overall economy and can significantly impact the securities markets. …

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