Showing results:
Displaying 51 - 54 of 54
Undergrad AM/ER Certifications
Hey guys, sophomore undergrad interested in AM or ER for career. What certifications or exams are available to undergrads to bolster a resume? I already plan on taking CFA® Level 1 but was wondering if someone could give the specs on FINRA series exams or other relevant certs. Can i take the FINRA...
Series 87 Test vs. STC Materials
Read through the Series 86/87 recent posts and concerned about the disconnect b/w the questions STC provided and the actual test. Just wondering if anyone who took the test recently had any input on how close the STC materials were to the actual test? Were questions from the supplemental exam on the...
Are all employees of an investment firm subject to FINRA?
Good Afternoon, I have an initial interview with a large investment services company, but the position would be in the IT department. (I'm a computer network engineer). My question is: are all employees for a company subject to the FINRA statutory disqualifications? I'm asking because 7 years ago I...
E*Trade Fined
This one really oughtta make that baby in the comercials puke. FINRA has slapped a $1 million fine on the online investments company for slacking in their anti-money laundering procedures. It wasn't just a momentary lapse, either. For about 4 and half years the firm who lets arm-chair investors play...
or Want to Sign up with your social account?