The Financial Industry Regulatory Authority (FINRA) develops and enforces rules governing registered brokers and broker-dealers in the United States.
FINRA also conducts qualifying examinations for securities specialists.
FINRA provides resources such as BrokerCheck to help protect investors.
A common criticism of all self-regulatory bodies, including FINRA, is that they do just enough to maintain public confidence.
FINRA’s monthly disciplinary action report only covers formal actions and does not include informal actions such as warning letters to firms or individuals.
Series 66 essentially combines materials found in both Series 63 and 65. However, you must complete Series 7 as an additional condition for Series 66, which is not required for 63 or 63. 65.
The Government Accounting Standards Board (GASB) is a private non-governmental organization that develops accounting standards for state and local governments.
Investment managers are people or organizations who engage in all activities related to financial planning, investing and portfolio management for individuals or organizations.
The MPA is a master’s degree in public relations that prepares recipients of this degree for leadership positions in government and non-governmental organizations.
The National Association of Certified Appraisers and Analysts (NACVA) is a group of business professionals who provide valuation and litigation services.
Personal Financial Specialist (PFS) is a certification for Chartered Public Accountants (CPA) allowing them to expand their experience to include financial planning and asset management.