In addition to core business practices, examiners will focus on new rules, emerging tech and investor data protection.

We've narrowed down the list based on cost ... SIA has an average 90% pass rate on all of its securities exams. The Series 63 exam (Uniform Securities Agent State Law Exam) is a 75-minute ...

If you are a boutique advisor, avoid the temptation to be a jack-of-all ... The Series 7 license is the common moniker for the General Securities Representative license. The Series 7 exam, which ...

In FY 2025, the Securities and Exchange Commission's Examination Division will be closely monitoring for compliance with MSRB Rule G-42 on the core standards of municipal advisors, in addition to ...

The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday.

Is FINRA constitutional? Two cases currently playing out in D.C. federal courts, Alpine Securities Corp. v. FINRA and Kim v. FINRA, tee up ...

SEC Chair Gary Gensler reaffirms the regulator's role in protecting investors amid perennial and emerging industry risks.

According to the settlement, Tsamos was suspended from the securities industry for 17 months; it is his second suspension by ...

These documents included insurance applications, money movement forms, change of beneficiary requests, policy service requests, and various verification forms, FINRA's order states. The ...

are mostly required to take exams to demonstrate that they fully understand all of the pertinent rules and regulations. They need securities licenses such as the Series 7 and 24, among others ...

As SEC’s examiners dig into advisors’ Reg BI’s duty of care and duty of loyalty obligations, the exam staff expects to focus on advice provided to clients regarding products, investment strategies and ...

Kaplan University Kaplan makes our list with the best comprehensive ... STC publishes a success rate of 95% across all its securities exam courses. With the Series 6 exam being among the easier ...