Learn the essential steps and compliance considerations for updating address and beneficiary information in customer accounts. This guide provides a comprehensive overview of the processes, documentation, and regulatory requirements involved in maintaining accurate client records for securities representatives.
Explore the intricacies of short selling and margin accounts, including initial and maintenance margin requirements, through practical examples and regulatory insights.
Explore the comprehensive role of FINRA in regulating the securities industry, including oversight responsibilities, enforcement of rules, and administration of qualification exams.
Explore the intricacies of retail communications in the securities industry, focusing on compliance standards, principal approval, and FINRA filing requirements. Learn how to craft compliant communications to meet regulatory standards.
Explore the comprehensive recordkeeping requirements for social media and digital communications in the securities industry, including retention periods, technology solutions, and compliance strategies.
Discover the comprehensive guide to Customer Due Diligence (CDD) in anti-money laundering compliance for securities professionals. Learn about the requirements, processes, and best practices to ensure regulatory compliance and protect financial institutions from illicit activities.
Understand FINRA Rule 4370's business continuity planning requirements, including plan content, disclosure, and compliance checklists, to prepare for the Series 7 Exam.
Master the intricacies of trade confirmations and reporting in the securities industry. Learn about the essential information included in trade confirmations, regulatory requirements, and best practices for compliance.
Discover the critical role of disclosure requirements in the securities industry, ensuring transparency and informed decision-making. Learn about key types of disclosures, regulatory standards, and their significance for the SIE Exam.
Explore the regulatory framework, prohibitions, and best practices related to sharing in customer accounts and guarantees in the securities industry. Learn about FINRA Rule 2150 and its implications for registered representatives.
Explore the intricacies of settlement dates and conventions in bond trading, including standard settlement cycles, when-issued trading, and special settlement cases, crucial for the Series 7 Exam.
Explore the intricacies of Outside Business Activities (OBA) in the securities industry, including regulatory frameworks, notification requirements, and best practices for compliance.
Explore the essentials of institutional communications within the securities industry, including definitions, regulatory guidelines, and practical examples. Understand how these communications differ from retail communications and learn about the compliance requirements set by FINRA.
Explore your rights as an investor, including access to disclosures, fair treatment, and accurate information, with guidance on reading prospectuses and filing complaints.