by Ashley Spencer | Nov 15, 2019 | Uncategorized
Brokers and firms found out if they were well prepared against a cyber security attack in early November 2019. The Securities and Financial Markets Association (SIFMA) tested hundreds of people in the securities industry on November 7, 2019 with its Quantum Dawn V... by Ashley Spencer | Nov 4, 2019 | FINRA
Brokers-to-be who are looking to break into day trading may want to be a little more inconspicuous if they cheat on tests, or not cheat at all. The Financial Industry Regulatory Authority claims Andrew Yoro cheated on the Series 7 examination by “consulting study... by Ashley Spencer | Nov 1, 2019 | Investors
Click here to read our post about the history and mission of the SEC. The SEC breaks down its responsibilities into five major categories on its website: “Interpret and enforce federal securities laws;” “Issue new rules and amend existing rules;” “Oversee the... by Ashley Spencer | Oct 14, 2019 | Arbitration, FINRA, Mediation
If you invest money in America and work with a broker or a firm, there’s a good chance you may have heard of FINRA. The Financial Industry Regulatory Authority defines itself as a “not-for-profit organization that – working under the supervision of the SEC –...