Powers of attorney can be a helpful way to prepare for the future, but many factors will determine the type of power of attorney you need and whether it will hold up when it needs to.
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
Financial Exploitation of Seniors
Regulatory Notice
Notice Type
Rule Amendment and New Rule
Referenced Rules & Notices
FINRA Rule 2010
FINRA Rule 2140
FINRA Rule 2150
FINRA Rule 2165
FINRA Rule 3310
FINRA Rule 4521
FINRA Rule 11870
Regulation S-P
SEA Rule 17a-
As far back as the 1940s, an artificial intelligence (AI) technology revolution has forever been just around the corner. Today, with significant advancements in technologies like machine learning, natural language processing and computer vision, and new customer applications like virtual assistants, that revolution is in many respects here. Not with a single, loud bang, but rather through a
These Rules of Conduct set forth the terms and conditions of your participation in a Regulatory Element Continuing Education (CE) session. You must read and agree to the following statements before starting your Regulatory Element CE session.
I understand that if I violate any of the following rules of conduct, my CE session results will be forfeited and I may be subject to disciplinary action
Elimination of Continuing Education Delivery at Testing Centers
Effective Date: October 26, 2016The Financial Industry Regulatory Authority, Inc. ("FINRA") provides FINRA widgets (the "Widget(s)"), and the data and information available therein through any underlying databases (the "Content"), as available on or through the FINRA Website (the "FINRA Website"). This FINRA Widget terms of use ("Terms of Use")
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Securities Exchange Act of 1934 (Exchange Act) Rule 15c3-1 (Net Capital Rule) requires that firms must at all times have and maintain net capital at levels as specified under the rule. The Net Capital Rule is
