See the gallery for six rule changes and other actions — not all part of FINRA Forward — announced in 2025.

State Law Focus: The Series 63 exam tests your knowledge of state securities laws and ethical practices. Who Needs It: Broker ...

📘 What Is the Series 63 Exam? The Series 63, officially called the Uniform Securities Agent State Law Exam, is a license required in most U.S. states if you want to be a securities agent and sell ...

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What Is the Series 63 Exam? What Is the Series 65 Exam? When you’re looking into the securities industry, figuring out which exams you have to take can be exhausting. After all, there are 32 different ...

We might earn a commission if you make a purchase through one of the links. The McClatchy Commerce Content team, which is independent from our newsroom, oversees this content. This article has ...

As crypto collides with traditional finance, the trading firm is moving to secure a bigger role in capital formation in the ...

Interactive Brokers LLC agreed to sanctions including a $125,000 fine to settle Financial Industry Regulatory Authority ...

Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms. Brokers must be registered with FINRA in order to ...

The Financial Industry Regulatory Authority Inc. went back to carrying a big stick last year as the fines it imposed on brokerage firms reached $89 million, a 63 percent increase compared to $54.5 ...

Discover the essentials of a Series 6 license from FINRA, covering mutual funds, variable annuities, investment objectives, ...

There's good news and bad news for planners seeking state registration as advisors with the North American Securities Administrators Association. The good: The NASAA is reducing the number of correct ...