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SEC and FINRA Rules and Regulations
How can I become a FINRA arbitrator?FINRA operates the world's largest securities arbitration dispute resolution forum. FINRA is usually recruiting arbitrators…
How can potential customers review the background of brokers or a brokerage house?One of the primary ways of investigating your broker or brokerage firm is to begin…
Should an investor cooperate in a FINRA investigation?This is a tricky question that can only be answered on a case-by-case basis. However,…
What are account opening documents?Account opening documents is the paperwork that an advisor must fill out in order to…
What is an alternative investment?An alternative investment is an alternative to a stock or a bond. For many decades…
What are net out-of-pocket losses?Net out of pocket losses is a reference to how much money an investor may…
What are rescission offers?A rescission offer is when a company or brokerage firm agrees to repurchase the investment…
What are securities?Securities are an investment in a company. Generally securities trade on a national securities exchange,…
What are the risks of using leverage?Leverage is the borrowing of money to make additional purchases in your accounts. It's generally…
What do I need to know about electronic communications in regards to FINRA?Electronic discovery in arbitration has become prevalent over the years. While most people appreciate that…
What is a sophisticated investor?There's no legal definition for the term, "sophisticated investor." It is frequency a defense raised…
What is accountant malpractice?Accounting malpractice is when an accountant fails to meet the standards by which his industry…- What is an alternative investment?An alternative investment is an alternative to a stock or a bond. For many decades…
What is an unregistered investment?An unregistered investment is any investment that is not required to be registered with the…
What is cold calling?Cold calling is when a financial advisor contacts a client by telephone to solicit them…
What is margin?Margin is a loan that a brokerage firm makes to the customer to purchase additional…
What is meant by the term cost equity ratio?The term cost equity ratio is generally meant to indicate how much a portfolio costs…
What is the difference between a broker and a registered investment advisor?The difference between a stockbroker and a registered investment advisor is the standard by which…
What is the impact of costs and fees on my portfolio?We've been retained by many customers over the years, who feel that the costs and…
What is unauthorized trading?Most customer accounts with brokerage firms are established as either discretionary or non-discretionary accounts. A…
What makes a customer mark up excessive?The securities industry rules have certain parameters of what a brokerage firm can charge a…
Who regulates an investment adviser?While most people are familiar with Wall Street brokerage firms, which are regulated by FINRA,…
Will FINRA get my money back?FINRA, the Financial Industry Regulatory Authority, which oversees the brokerage industry, frequently brings charges against…
Will the regulators get my money back?The job of the SEC, or the Securities and Exchange Commission, is to regulate the…
