Selling securities or financially advising clients requires a license, and which license a professional needs depends on a number of factors, including what type of securities are being offered for ...

Investment banking is a very broad term that includes many different areas of finance. It's really important to know what you're getting into before embarking on an investment banking career. The ...

You may have heard the Financial Industry Regulatory Authority announced a new initiative titled the “Maintaining Qualifications Program.” If you are someone who has FINRA licenses, such as the Series ...

Finra and state securities regulators have delayed the launch of online testing for securities licenses. The Financial Industry Regulatory Authority Inc. and the North American Securities ...

The Dutch neobank sought a U.S. license in 2023 but withdrew after a 301-day wait. It obtained a broker-dealer license in ...