Explore the essential role of FINRA in regulating broker-dealers and registered representatives, the process for becoming a FINRA member firm, and the organizational structure governing its members.
Master the essentials of filing communications with FINRA's Advertising Regulation Department for the Series 7 Exam. Understand the procedures, timelines, and compliance requirements critical for aspiring General Securities Representatives.
Explore the intricacies of customer-specific suitability in securities recommendations, focusing on aligning investment advice with individual client profiles. Learn about the factors influencing suitability, examples of unsuitable recommendations, and the importance of compliance with FINRA rules.
Understand the critical role of principal approval in securities communications, including types of communications requiring approval, responsibilities of registered principals, and compliance with FINRA rules.
Explore the essential recordkeeping requirements for securities professionals, focusing on electronic communications and social media. Learn about the obligation to retain records, duration of retention, and technologies to aid compliance.
Explore the comprehensive SEC and FINRA oversight of variable contracts and insurance products, focusing on federal securities laws, FINRA rules on communications, and suitability requirements.