What Is the Series 7 Exam? Everything You Need to Know

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 ...
FinanceFeeds

tZERO Digital Asset Securities Completes Special Purpose Broker-Dealer Exam

ZERO has announced that its subsidiary tZERO Digital Asset Securities, LLC has successfully completed its first regulatory exam as a Special Purpose ...
Miami Herald

Series 65 vs. Series 66: Key Differences

So, you’re diving into the investment world, and now you’re at the classic crossroads: Series 65 vs. Series 66. It’s like deciding whether you want to be the head coach (Series 65) or the player coach ...
Accounting Today

Broker-dealer audits continue to have high deficiency rates

The PCAOB issued its annual report Thursday on its audits of brokers and dealers and is seeing at least one deficiency in 70% of the 103 audit engagements it reviewed in 2023. "Overall, in 2023 we ...
Crowdfund Insider

tZERO Broker-Dealer Subsidiary Marks Milestone as Tokenized Security Custodian

ZERO Digital Asset Securities reached a milestone in its role as a Special Purpose Broker-Dealer (SPBD) permitted to custody ...
Think Advisor

Who Actually Needs to Register as a Broker-Dealer? — SEC Roundup

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...