The two most popular FINRA Series exams are Series 6 and Series 7 ... Your perfect pick is on this list. Get ready to stop searching and start studying! SIA is my top pick due to their extensive ...

To get this license, you need to pass the Series 63 exam, which tests how much you know about the Uniform Securities Act, covering things like ethical standards and investor protection rules.

The Financial Industry Regulatory Authority, which administers the exam, does not release Series 65 pass rates. The test covers financial industry regulation, securities law, ethics, investments ...

UraduFact checked by Suzanne KvilhaugIf you are a financial professional and wish to work as an investment adviser to help ...

The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY ...