FINRA

Explore the regulatory framework governing pattern day traders (PDT), their trading limits, and financial requirements in detail.

Explore what Series 66 entails, its requirements, and how it qualifies individuals as investment advisor representatives. Learn about the exam structure, content areas, and preparation tips.

Comprehensive guide to FINRA, an independent regulatory body ensuring the integrity of the U.S. brokerage firms and securities dealers.

Dive into the role of the Financial Industry Regulatory Authority (FINRA), its functions, and its impact on the securities market in the United States.

Explore the role of NASD in securities market regulation before it became FINRA, including its impact on stock trading and market oversight.

Explore the functionality and importance of the Order Audit Trail System (OATS), established by FINRA, to enhance transparency and regulatory oversight in securities transactions.

Explore the history, functions, and eventual cessation of the Over-the-Counter Bulletin Board (OTCBB), a key platform for OTC securities trading.

Explore the concept of arbitration, how it operates under FINRA, and why it might be a more efficient alternative to traditional lawsuits for resolving broker-investor disputes.

Dive into FINRA BrokerCheck, a vital resource for investors providing detailed info on brokers, firms, and financial advisers. Learn how it supports informed investment decisions.

Explore what maintenance margin is, its significance in margin trading, and how it affects investors' equity in a margin account according to FINRA regulations.

Dive into the intricacies of Series 57, the Securities Trader Representative Exam, crucial for professionals aiming to trade equity and convertible debt securities, administered by FINRA.

Explore the essential details about the Series 9/10 exams, qualifications, and why they're pivotal for securities sales supervision at branch offices.

Explore the depths of the Series 24 exam, a crucial qualification for supervising broker-dealer operations. Learn how it works, the structure of the exam, and preparation tips.

Dive into the essentials of the Series 3 Exam (National Commodities Futures Examination), its structure, significance for futures brokers, and how it enables professionals in the finance sector to thrive in trading commodities.

Explore the Series 7 Exam including its purpose, requirements, and structure. Learn how it qualifies the holder to sell securities products and prepare with key insights.

Explore the comprehensive guide to the role, responsibilities, and regulatory requirements of a Registered Representative (RR) in the financial industry.

Explore what a trading account is, how it works, the requirements to open one, and the risks and advantages associated with trading accounts.