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If you’re considering a career in the financial services industry, you’ve likely come across the term “Series 6 License.” This license is essential for individuals who want to sell certain types of securities, such as mutual funds, variable annuities, and insurance products. Issued by the Financial Industry Regulatory Authority (FINRA), the Series 6 License is […]
FINRA plays a crucial role in regulating brokers and resolving disputes between investors and brokerage firms. One of the key rules that comes into play in certain arbitration cases is FINRA Rule 13805, which governs how arbitrators handle cases involving the expungement of customer dispute information. Expungement is a process that allows brokers to remove […]
Regulation D (Reg D) is a crucial part of the Securities Act of 1933, which provides exemptions from the registration requirements for certain securities offerings. These exemptions allow companies to raise capital without going through the lengthy and expensive process of registering with the Securities and Exchange Commission (SEC). For many startups and small businesses, […]
Why does FINRA bar brokers or financial advisors? The Financial Industry Regulatory Authority (FINRA) is a critical player in maintaining trust in the U.S. financial system. One of FINRA’s main jobs is to watch over brokers and brokerage firms and sometimes taking regulatory action FINRA bars brokers. Why does FINRA bar brokers? This helps make […]
Investing strategies that help manage risk while providing potential income are essential, especially for those recovering from losses due to poor financial advice. Cash-secured puts stand out as a prudent approach, balancing risk with the opportunity for gain. This strategy involves selling put options with enough cash reserved to cover the purchase of the stock […]