Find out everything you need to know about the Series 7 exam along with tips to pass and be on your way to a Series 7 license ...

Need more practice test questions to prep for the Series 63 exam? You’re in the right place! We’ll cover everything from must-know exam topics to sample Series 63 questions. Although these don’t ...

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 ...

The North American Securities Administrators Association, which represents state and provincial regulators in the U.S., Canada and Mexico, introduced its Exam Validity Extension Program, or EVEP, to ...

U.S. securities regulators plan to scale back examinations of brokers so they can shift resources to improve oversight of investment advisers, which have traditionally faced less scrutiny, several ...

Finra will take a data-centric approach to performing market exams, pulling reams of information from broker-dealers, insurance companies and clearing firms. The initiative was announced last month by ...

Brokers like to complain about Finra exams. Now they have a chance to tell the organization exactly what they think — anonymously. By Mark Schoeff Jr. Brokers like to complain about Finra exams.