In order to solicit orders for any type of security, a broker or representative must pass the Series 63 examination, in addition to the Series 6 or Series 7. These tests are administered by FINRA, the financial services industry self-regulatory organization (SRO), and serve as licensing requirements for financial services representatives and management in the field. The 6 and 7 deal with product and industry knowledge and theory, while the 63 covers state-specific laws and rules, along with an understanding of ethical and fiduciary responsibility. The Series 63 takes only 75 minutes, with 65 multiple choice questions. Continue reading...
The general securities licensing test required by FINRA is the Series 7 examination. Member firms who are part of the solicitation of securities which are not managed by other parties. If a representative only solicits securities such as mutual funds and variable annuities which are managed elsewhere, a Series 6 and Series 63 combined would fulfill the licensing requirements in that situation. The Series 7 licenses a representative or broker to solicit the sale of individual securities, such as stocks and bonds, as well as options, derivatives, and private placement. The only securities that a Series 7 does not license an individual to solicit are commodities futures, which require a Series 3. Continue reading...
Chapter 7 is a type of bankruptcy filing that allows an individual to liquidate enough assets to repay their debts and to then be free and clear of debt obligations. This can help get a credit rating back on track sooner than another type of filing such as Chapter 13. Chapter 7 is for people with incomes below their state’s median income. By liquidating enough assets to pay off creditors, a debtor can use Chapter 7 to take care of all debts at once, or to have some of the debts forgiven if the debtor does not have adequate assets for liquidation. Continue reading...
Chapter 13 bankruptcy is one of the most often used. It is similar to a Chapter 7, but it does not have income limits. It involves liquidating the assets of the debtor and making payment arrangements over a longer period of time than Chapter 7. Chapter 13 allows a debtor to propose a schedule for repaying debts that seems reasonable to the bankruptcy judge. It is for individuals who can prove steady income. Often Chapter 7 is filed by people who are impoverished, while Chapter 13 is the middle-to-upper class equivalent. Continue reading...
Commodities Futures are one of the most highly traded securities in the world, and it is partially because nothing has to be delivered by the participants as in a spot-trading market. Futures can be purchased on margin, opening up large positions, long or short, and if a trader finds a place to exit before the settlement date of the contract, the trader will buy/sell to close his or her position, and the exchange will regard the trader’s position as flat, and nonexistent for all intents and purposes. Continue reading...
A bankruptcy trustee is appointed to oversee the liquidation of a debtor’s estate. A bankruptcy trustee has an obligation to do all he or she can to maximize the amount that a bankrupt entity’s estate can pay to the debtor’s unsecured creditors. The trustee must also challenge the claims of a creditor where appropriate. The estate is constituted of all of the bankrupt entity’s nonexempt assets. The trustee will oversee the “341” meeting, in the case of Chapter 7 bankruptcy. Continue reading...
Chapter 15 bankruptcy is a newer type of bankruptcy filing that has only been around since 2005. It allows foreign companies access to the US bankruptcy court system in certain circumstances. This is part of the US’s compliance with international trade laws. Part of the aim of bankruptcy law is to preserve employment and protect investment. In an increasingly globalized economy it is understandable that the US could offer hearings to corporations which straddle national borders but are not based in the US. Continue reading...
As AI infrastructure spending accelerates, semiconductor stocks remain at the center of market attention. Tickeron’s Semi Supercycle watchlist uses advanced Financial Learning Models (FLMs) to identify leading chipmakers with strong momentum and emerging opportunities. Explore how AI evaluates leaders such as Micron, AMD, Marvell, TSMC, NVIDIA, Broadcom, Intel, and STMicroelectronics, helping traders monitor trend strength, sector rotation, and potential entry points in one of the market’s fastest-growing industries. Continue reading...
Markets surged this week as tech stocks rallied and inflation data cooled, sparking optimism among investors. With QQQ up over 5% and inverse ETFs tumbling, bullish sentiment returned. AI trading tools like Tickeron’s FLMs helped traders navigate the rapid shifts. Continue reading...
This week’s market recap reveals mixed performances across stocks, commodities, and cryptocurrencies, with Monero surging while energy markets falter. Rising volatility points to growing uncertainty, highlighting the increasing importance of AI-driven trading systems in navigating today's unpredictable financial landscape. Continue reading...
This week, global markets saw major shifts—FTSE 100 hit a record high, while US stocks struggled amid economic uncertainties. Cryptos surged, commodities dipped, and sector performances varied. Stay ahead with key insights into market trends! Continue reading...
Dive into the week of June 3-7, 2024, as we dissect the intertwined forces of global markets. From tech surges and commodity spikes to cryptocurrency resilience, uncover how economic and political events shaped financial dynamics and investor reactions across various sectors. Continue reading...
A turbulent week rocked global markets as Amazon surged on its $38B OpenAI deal while Nvidia lost $450B amid an AI sector selloff. Bitcoin dipped below $100K, and Tesla shareholders approved Elon Musk’s $1T pay package—highlighting the volatility defining today’s tech-driven economy. Continue reading...
📊 Markets on the Move! From surging commodities and bonds to volatile crypto declines, the week of February 3-7, 2025, brought major shifts in stocks, sectors, and global markets. Get the key insights on QQQ, SPY, DIA, and more to stay ahead of the trends! 🚀📈 Continue reading...
Markets juggled tariff fears and record-breaking rallies this week. Nvidia hit a $4 trillion valuation, Bitcoin soared past $112,000, and tech stocks defied trade tensions to set new highs, showcasing investor optimism despite geopolitical volatility. Continue reading...
For the first time in decades, newly built homes are often cheaper than existing ones. Builder incentives, tight resale supply, and high borrowing costs are reshaping the housing market—creating both risks and opportunities for buyers, investors, and traders. Continue reading...
Discover how advanced AI trading robots utilize Technical and Fundamental Analysis to enhance your trading strategies. Learn about key indicators, strategy implementation, and the benefits of combining different approaches to maximize returns and minimize risks in the dynamic financial markets. Continue reading...
Wall Street is turning bearish on software. Hedge funds have booked billions in short profits as valuations reset and enterprise demand slows. With AI both disrupting and driving the sector, software stocks are entering a new era of volatility and selective growth. Continue reading...
Discover how Price Action Correlation Models can enhance your trading by leveraging sector-based stock movements. Learn about their implementation, advantages, and successful applications to boost your decision-making and achieve impressive returns Continue reading...
For the first time in years, every Magnificent 7 stock is lagging the broader market. As AI spending, rising oil prices, and macro uncertainty reshape valuations, investors are closely watching key technical levels in NVDA, AAPL, MSFT, AMZN, META, GOOGL, and TSLA. Continue reading...