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Exam Alert: FINRA Provides Guidance on Communications
  Jun 25, 2015
On May 22, 2015, FINRA issued guidance concerning communications with the public. Here are some notable points from the guidance... Read More...

Testimonial Tuesday: June 23, 2015 Edition
  Jun 23, 2015
"Thank you so much for your help and support in assisting me in my preparations for the Series 7 exam." Read More...

Exam Alert: SEC Issues Bulletin Regarding Diminished Financial Capacity
  Jun 12, 2015
On June 1, 2015, the SEC issued an investor bulletin about "diminished financial capacity", which refers to when an individual becomes unable to manage their finances. They recommend a number of steps for individuals to take to prepare for such a condition. Read More...

Exam Alert: FINRA Revises Public, Non-public Arbitrator Standards
  Jun 09, 2015
Effective June 26, 2015, FINRA will alter its rules regarding who will be consider a public or non-public arbitrator. The change will make it so that any arbitrator who has worked in the financial industry for any period of time will be considered a non-public arbitrator. Also, arbitrators who represent investors or the financial industry as a significant part of their business will be considered non-public arbitrators, but may become public arbitrators after a cooling-off period. Read More...

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