The glitz and glamour of Hollywood can be intoxicating, but for many movie and television writers, the financial realities are starkly different. The entertainment industry is notorious for its feast-or-famine cycles, with periods of lucrative work often followed by dry spells. This financial unpredictability makes it crucial for writers to invest wisely and choose the […]
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees brokerage firms and registered representatives in the securities industry. One of the tools that FINRA uses to carry out its regulatory functions is the FINRA Rule 8210 request. FINRA Rule 8210 is a regulation that allows the organization to request information and documents […]
The Magnificent Seven and Market Stability In the realm of modern finance, the “Magnificent Seven” have emerged as a powerful cohort of technology titans—Apple, Amazon, Alphabet (Google), Meta, Microsoft, Nvidia, and Tesla—whose collective influence on the S&P 500 has soared to unprecedented heights, reaching 31% as of mid-2024. This concentration, while reflective of their stellar […]
In the high-stakes world of finance, a single blemish on your record can significantly hinder your career. The FINRA (Financial Industry Regulatory Authority) oversees the integrity of market professionals, and under its auspices, the Rule 2080 process allows for the expungement of unjust marks on a broker’s record. Bakhtiari & Harrison focues on securities arbitration […]
Navigating the complex world of financial regulations can be a daunting task. One rule that often comes up is FINRA Rule 3270. This rule governs the outside business activities of financial advisors. It plays a crucial role in maintaining professional ethics and industry standards within the securities industry. The rule requires advisors to disclose any […]