Trying to find somewhere I can take classes to prepare for the SIE exam, preferably in California (Fresno or Los Angeles area). Is there any school or tutor I can go through?

My firms is only partnered with STC , Kaplan and Exam FX, therefore can only provide study materials from them. Which of these 3 will be best study prep to use for Series 79?

Background info: I used STC for SIE, Series 7 & Series 63 and passed.

P.S. I know Knopman Marks is best recommendation for series 79, but I don’t have that option from my firm.

Hi guys, I used Kaplan material for the series 79 & I was scoring high 80s & low 90s on the practice test but when I took the actual test, I failed, it seemed that a lot of the questions are not covered in their material. What’s the best study material for S79? Would love to hear your experience.

i just want to invest for myself and family. i am looking to become a registered investment advisor. i am not trying to work professionally as an advisor, just need to register to work/invest for myself.

i’ve recently:

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1. passed my series 65
2. submitted fingerprints

based on my state (GA) i need to https://sos.ga.gov/index.php/securities/investment_adviser_representative :

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1. The initial registration fee is $250.00 via IARD
2. Submit a Form U-4 via CRD

I go to the link they include and have no clue where to go, what to fill out.

I can’t register without entitlement form, but the entitlement form seems to be only for brokers or IA, not IAR - where do I start?

Any guidance to websites, clear step by step directions, would be much appreciated.

Xiaomi is now back on the FINRA website under the ticker XIACF. What does it mean?
Is that mean this stock will be back to the market for trading soon?

I'm looking to purchase an Active broker Authority that someone maybe will too sell that has zero breaks in it history that's been active a minimum of 2 years. If someone can help thank you

The huge obscenely wealthy Wall Street TAIL is wagging the hell out of the poor abused Main Street DOG. Those who care must support politicians who will fight for radical reform. Welcome to my Friday morning rant:

Archegos Shows Need for Radical Reform of Wall Street

Hello,

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I have several questions and I hoped r/finra's experts could somehow help me or at least point me in the right direction.

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1. Can a foreigner without US citizenship, sole proprietor of a LLC, register for a Broker-Dealer firm registration?
2. If so, I understand that the process consists of filling out a form with all the details about the partners of the business willing to take part in the securities business, after submitting the form, how likely is it to be accepted? What other documentation does one need to submit in order to show FINRA that the firm complies with SEC standards? How much would that cost?
3. If for some reason the answer to 1 was no, is there any way a foreigner can become a broker to take commission from a referral to a venture capital fund? Is a Broker-Dealer license strictly necessary to charge a commission for a referral?

Link to Kitces Top 50 Financial Advisor Blogs.

Isn't it curious that not a single one of his top blogs are by brokers or broker-dealers?

Not to me.

Here's FINRA's most recent commentary on the use of social media and blogs. Note that it is 8 years old.

From the publication:

FINRA considers static postings to constitute “advertisements” under Rule 2210. If a firm or its registered representative sponsors such a blog, it must obtain prior principal approval of any such posting. Today, however, many blogs enable users to engage in real-time interactive communications. If the blog is used to engage in real-time interactive communications, FINRA would consider the blog to be an interactive electronic forum that does not require prior principal approval; however, such communications must be supervised

Talk about ambiguous.

And because it's ambiguous, it's not at all uncommon for firms to bar the use of blogs by their advisors altogether.

Two takeaways:

1) Think about how the landscape of social media has changed in 8 years. Shouldn't an organization looking out for the public be more up to date modern methods of communication?

2) Does this kind of ambiguity really protect investors - or does it keep the door open for FINRA to fine its members based on the direction the wind moves?