Latest News

New FINRA Regulation: Regulation Best Interest

Regulation Best Interest took effect on June 30, 2020 and imposes an obligation on broker/dealers and registered representatives or associated persons to act in the best interest of individual retail customers at the time recommendations are made. Continue reading for additional information and to view the course addendum for Securities Industry Essentials (SIE), and Series 6, 7, 24 and 26.

Series 6 and Series 7 Exam Outlines Released by FINRA

FINRA has released new outlines for Series 6 and Series 7 Exams in conjunction with the upcoming new SIE Exam. These updates are scheduled to go into effect on October 1, 2018.