Displaying 34 of 34 results

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  2. Licensing For Dummies

    Sales and Trading

    Seeing as there have been a few recent posts about the NASD/FINRA Licensing exams, I thought it would be prudent to discuss them with you guys, since most of you monkeys looking for full-time employment on the street will need to take them in some way, sh ...

    59 comments29 Jan 2018 -

  3. Series 79 free study guide

    Investment Banking

    I have a very detailed outline that I'm going to make available to the forum. Either through a editable gdoc or through a personal wiki. Frankly, we all spend way too much time studying / preparing for the exact same things. I'm hoping that a fe ...

    62 comments10 Oct 2016 -

  4. I am trying to take the Series 7 and 66 a year from now and have started studying. I have been looking for a FINRA firm to sponsor me, does anybody know which firms are easier to get sponsorship from? I am still in college and want to have this designatio ...

    39 comments19 Jun 2018 -

  5. EXTRA, EXTRA!!!! Investor confidence gone! Investment Banks and Hedge Fungs lunch on the little guy! SEC has'em all for dessert! You pay, if you play! Read all about it!!!. Ok...well, maybe I'm in too much of a post Gatsby mind set today, but CN ...

    48 comments14 Sep 2010 -

  6. Series 79 (new form)

    Investment Banking

    Hi, Does anyone have any input in regards to the new Series 79 format? I have my SIE, Series 7 and 63. Investment Banking analyst Series 79 FINRA ...

    11 comments30 May 2019 -

  7. Series 63 Retake

    Investment Banking

    Upon graduation from business school I am starting as an investment banking Associate and am required to take and pass the Series 63. Prior to getting my MBA I was in equity research and had a Series 63 license. I worked in research until August 2010. I h ...

    14 comments17 Apr 2012 -

  8. 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 ...

    14 comments2 Mar 2011 -

  9. What's working for FINRA like?

    Job Search Advice

    Hi all, Can anyone please tell me what working at FINRA is like? I know that it involves a lot of travel. How is the work life balance? Comp? Is the work interesting? Any advice would help. Thanks Vagabond FINRA Salary ...

    7 comments15 Mar 2013 -

  10. I really want to work in finacial regulation, and I would like to work from entry-level and contribute my whole career life in this area, is there anyone working in this telling me what are the requirements for a job for this? thank you so much! FINRA Sal ...

    7 comments18 Jul 2012 -

  11. So the boutique firm I'm interning at this summer does not have a FINRA license. They are a traditional M&A investment bank. Is this shady? M&A FINRA ...

    7 comments14 May 2011 -

  12. For the younger members who don't know or the older guys who can't remember, Kenneth Starr was the lawyer who tried to get Bill Clinton impeached a little over a decade ago. America obsessed about Bubba and Monica, with Mr. Starr as the ringmast ...

    6 comments27 Jul 2010 -

  13. Monkeys, Odd question but wanted to see if anyone has had a similar experience. I'm at a small (<30 person) boutique that solely does advisory- buyside/sellside M&A, restructurings, valuations, debt capital raising etc. All of the analysts/ass ...

    5 comments2 Aug 2017 -

  14. I'm wondering, as I'm about to take the series 56 exam, how long did anyone here who took it take in terms of studying? Also, given the sheer amount of stuff on it (it has everything from options hedging/income/fx options to stocks, rules, at le ...

    6 comments2 Mar 2013 -

  15. Hi, I was wondering if it would be appropriate to take the series exams now(that are relevant for trading at BB)? or should I wait until and if I get a full time offer in trading. I thought have one or two series exams would make me more attractive to emp ...

    6 comments31 May 2012 -

  16. Hello all, I work as a stockbroker for a small brokerage firm. My firm helped me get Series 7 and 63. Although my boss doesn't need me to get any additional licenses at this point, I thirst for more knowledge. I want to take Series 3, 65, and 67 to a ...

    4 comments1 Jul 2017 -

  17. FINRA Certifications

    Investment Banking

    College student here (incoming sophomore) with nothing planned for the rest of summer. Could someone give me the lowdown on which Series are useful for what career functional areas? Also, where I should find practice exam books / study guides? Passing one ...

    5 comments13 Jun 2011 -

  18. 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? Wer ...

    4 comments30 Jan 2011 -

  19. I'm in consulting but am hoping to potentially make the move to IB down the line. My concern is about the personal financial disclosures that one has to make. Earlier in my youth, as an idiot, I incurred a couple (2) minor FINRA violations--"fre ...

    3 comments22 Feb 2018 -

  20. Age for Series 65 Exam

    Investing, Markets & Macroeconomics

    Hi All: I was wondering about the age for any FINRA exam, specifically the Series 65. I am interested in becoming an RIA to manage money. Thanks FINRA ...

    3 comments23 Jun 2015 -

  21. Do companies 'reactivate' your FINRA licenses if you are in roles (specifically Asset Management /client interacting roles) for summer internships if theyre needed? Or what about for off campus recruiting for roles that you'd start post gra ...

    3 comments16 Oct 2013 -

  22. E*Trade Fined

    Sales and Trading

    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 hal ...

    3 comments2 Jan 2009 -

  23. Taking my 7 for my second time next week....first attempt i sadly got a 71 (lol....) I used STC was scoring low 80s on online test now im scoring high 80s to low 90s. Started taking the Training consultant test today got a 75...Its crazy how much the scor ...

    2 comments10 Feb 2016 -

  24. Filling out Form U4 right now and am unsure if I am required to list all previous unpaid internships? I'm talking internships where I didn't even get a W-2, or have any verification that I even worked there (on paper). I know with brokercheck no ...

    2 comments10 Jul 2015 -

  25. I'm series 6, 63, and 7 certified, I also have my health and life insurance licenses. Am I allowed to blog or write about my feelings about the markets? FINRA Salary ...

    2 comments4 Oct 2012 -

  26. If you would like to have these books (almost new condition), please email me at " [email protected] " Can be picked up if you are in NYC area, or you can email me a shipping label and I am happy to drop them off at the courier FINRA books fin ...

    1 comment19 Sep 2019 -

  27. Hey all, I recently received an offer from FINRA for market regulation (20/hr + relocation costs for the summer). I am late to the game and am glad to have an offer, but given that it doesn't fit my ideal career path I am curious to accept it. I' ...

    1 comment7 Mar 2019 -

  28. The Financial Industry Regulatory Authority (FINRA) is a regulatory entity in the US with responsibility for regulating dealings between broker-dealers and investors. It is a non-governmental organization that was created after the merger of the National ...

    27 Jan 2012 -

  29. Have a dismissed petty theft on my record from 5 years ago that I am really worried about after reading the few threads. I talked to the FDIC customer service, and they said its an automatic clearance. Although it's dismissed it show's up on a b ...

    25 Jun 2016 -

  30. Good afternoon Monkeys, A simple quick question. In a M&A circumstance, what's the difference between Finra registered IB and Non-registered IB? Be specifically, What kind of business could a non-registered M&A advisory do? And, what kind of ...

    24 Jun 2015 -

  31. During 2004-2008 employees saw compensation levels across the nine largest IB outstrip revenues but in 2012, executives are now more focused on investors than rainmakers. They have endured two axed CEO's, incurred losses as HFT and dark pools take ov ...

    25 Dec 2012 -

  32. SRO career paths

    Job Search Advice

    so what kind of career path might someone who works at Finra, National Futures Association, CME, etc. have down the line? I'm lookin at one of these, and while they do seem accounting slanted, it is a somewhat related industry. Would I have a chance ...

    1 comment17 Oct 2014 -

  33. An overview and explanation of the FINRA / NASD certifications was created by WSO super-user Frieds to help out those who are curious. Seeing as there have been a few recent posts about the NASD/FINRA Licensing exams, I thought it would be prudent to disc ...

    26 Mar 2015 -

  34. Since I've seen some people struggle with the following tests, I am willing to offer tutoring sessions for the Series 6 and Series 63 licenses. I am in Atlanta so anywhere in the Atlanta area including downtown, midtown and buckhead at a local coffee ...

    11 Mar 2012 -

  35. 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 di ...

    6 Jun 2010 -