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FAQ

When do I need to update my FINRA U4 form after an arrest for non-investment related activities?
When do I need to update my FINRA U4 form after an arrest for non-investment related activities? What happens if you omit a job from a U4 form in the finance industry (i.e., the FINRA background check)? I wasn't fired from that job and I've already been hired, started working there, etc.? Finance: Can you take the Series 65 exam without a degree? How do I start a brokerage firm? What are the costs and requirements? Is it possible to obtain sponsorship for the Series 7 Exam without being employed by a member firm? Can you be a stockbroker with a criminal record? What do I need to do to become an SEC licensed securities broker dealer?