Selling securities or financially advising clients requires a license, and which license a professional needs depends on a number of factors, including what type of securities are being offered for ...

Investment banking is a very broad term that includes many different areas of finance. It's really important to know what you're getting into before embarking on an investment banking career. The ...

You may have heard the Financial Industry Regulatory Authority announced a new initiative titled the “Maintaining Qualifications Program.” If you are someone who has FINRA licenses, such as the Series ...

Finra and state securities regulators have delayed the launch of online testing for securities licenses. The Financial Industry Regulatory Authority Inc. and the North American Securities ...

Understanding the world of securities licenses can be overwhelming, especially when you’re trying to determine which license suits your career path in the financial services industry. If you’re ...

Robinhood CEO Vlad Tenev is not licensed by FINRA, Wall Street’s powerful self-regulator, even though he presides over one of the nation’s largest and most powerful online brokers. Tenev has emerged ...

We might earn a commission if you make a purchase through one of the links. The McClatchy Commerce Content team, which is independent from our newsroom, oversees this content. This article has ...

Apifiny Prime, the trading arm of Apifiny (pronounced the same as “epiphany”), joins a select group of crypto companies such as Coinbase, Gemini, eToro and Circle in holding a FINRA broker-dealer ...

Robinhood CEO Vlad Tenev is not licensed by FINRA, Wall Street’s powerful self-regulator, even though he presides over one of the nation’s largest and most powerful online brokers. Tenev has emerged ...