Resource Center: News & Updates

Featured News & Updates articles

Financial Exploitation- Seniors

Financial Exploitation of Specified Adults

FINRA created a hotline for seniors who had questions or concerns about their brokerage accounts. One of the major issues that was highlighted by these investors was suspected financial exploitation. In order to address this issue, FINRA created Rule 2165 which is titled Financial…

Financial Exploitation- Seniors

Financial Exploitation of Specified Adults

FINRA created a hotline for seniors who had questions or concerns about their brokerage accounts. One of the major issues that was highlighted by these investors was suspected financial exploitation. In order to address this issue, FINRA created Rule 2165 which is titled Financial…

Tax reform

The Tax Reform Act of 2018 and 2018 Retirement Plans

The Tax Reform Act of 2018 and changes for 2018 retirements plans will impact the financial industry. While some of the information will immediately affect FINRA, MSRB, and/or NASAA exam questions, other information may be used to create future exam questions. Click below for additional…

Delivery Vendor

A Shift to One Exam Delivery Vendor

  Currently, there are two exam delivery vendors, Pearson VUE and Promteric. Effective January 1, 2018, a candidate will only to be able to take an exam at a Prometric exam center. The last day a candidate may take an exam at a Pearson VUE…

Taking the Exam

Taking the Exam

  If you need to make a test appointment or get answers to questions related to your test appointment, call 1 (800) 578-6273 or 1 (866) 396-6273. Users of this testing system do not require prior experience in operating computer terminals. In fact, before starting your examination, you will be given…

Securities and Exchange Commission- Settlement Rule Change

Effective on September 5, 2017, the Securities and Exchange Commission (SEC) amended the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (T+3) to two business days after the trade…

FINRA rule

Series 52 Restructuring

The MSRB has added the Series 52 to the list of exam that will be restructured. Effective October 1, 2018, they will follow FINRA’s lead and make the SIE a prerequisite for the Series 52 top-off exam. A proposed rule change will be filed…

FINRA rule

FINRA Rule 3210 

Accounts at Other Broker-Dealers and Financial Institutions For supervisory reasons, member firms are required to monitor the personal accounts that their employees (both clerical and registered persons) open or establish with a firm other than the one at which they are employed. For example,…

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