The Securities and Exchange Commission has authorized the Financial Industry Regulatory Authority guidelines that (1) combine the National Association of Securities Dealers (NASD) and Incorporated New York Stock Exchange registration guidelines, in addition to existing FINRA guidelines; (2) reorganize the… Read More

A brand-new Financial Industry Regulatory Authority guideline developing a general understanding test much like the Series 7 has been authorized by the Securities and Exchange Commission and works Oct. 1, 2018. Under the guideline, prospective registrants would take the Securities… Read More

A financial investment market regulator has bought Wells Fargo to pay $3.4 million to brokerage clients who lost money purchasing complex securities that even Wells Fargo brokers didn’t totally understand. The Financial Industry Regulatory Authority, or Finra, stated Monday that… Read More