The Series 65 exam — the NASAA Investment Advisers Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 130 scored questions and 10 unscored questions. Candidates have 180 minutes to complete the exam. In order for a candidate to pass the Series 65 exam, they must correctly answer at least 92 of the 130 scored
SUGGESTED ROUTING
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Executive Summary
Beginning March 1, 1994, the NASD will assess an $85 surcharge on all initial and transfer Form U-4 filings that require a Special Registration Review (SRR) of information reportable on Page 3 of this Form.
Background
During 1993, the NASD Finance Committee formed the Rate Review
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 4, 2017
Today, FINRA is publishing its
2017 Regulatory and
OATS Rules 7440(c)(1) and 7450 require firms to record and report to OATS information related to the transmittal of an order to a department within the member.
While requiring disclosure of additional information regarding complex financial products seems good in principle, it seems quite possible that this will be yet another textual agreement that almost nobody reads and most people click through. Figuring out who needs the information provided and how to present it in a way that they will understand it seems important.
However, requiring testing to
Findings Reveal Decline in U.S. Adults’ Ability to Make Ends Meet and Save for Emergencies, More Households Strained by Increased Costs, and the Struggle of the Middle-Income Group
I'm an informed investor and aware of the possible risks involved so please don't take away the freedom of what I want to do with my money.
These products have been around for years with no 'damage' to any investors. Informed investors are fully aware of the risk associated with both Inverse and Leveraged ETFs.
As a retiree with long service in paying taxes and abiding complexity. This proposed change
Serves no benefit to citizens making informed choices to invest in public equities.
Inverse fund are an important check on the stock market. I believe that individual investors, when informed of the risks involved, should be able to choose to invest in these funds.
