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What is FINRA?
FINRA stands for Financial Industry Regulatory Authority, and they regulate securities firms in the United States.
FINRA has no political affiliation and is charged with governing all business dealings conducted between dealers, brokers and all public investors. In other words, the rules that dictate how your financial advisor interacts with you are set forth by FINRA.
In all, FINRA oversees more than 4,500 brokerage firms, approximately 160,000 branch offices and more than half a million registered securities representatives, as of 2016.
What is the Investment Advisor Registration Depository (IARD)?
What is the Federal Trade Commission (FTC)?
What is a Partnership?
A partnership is a business owned by two or more people, usually designated as an LLC
How Do Deductible and Non-Deductible IRAs Differ?
Deductible IRAs provide a way to lower your taxes because you can deduct contributions to your IRA from your income
What is Home Equity?
Home equity is a notional amount that a person owns at any given time, which is computed as the market value of a...
What is a Lifeline Account?
Lifeline accounts give low-income individuals an opportunity to bank without paying fees or observing a minimum balance
What is a Cash Conversion Cycle?
A business with a fast ‘cash conversion cycle’ can efficiently use funds to fulfill the different needs of the business
What is a Credit Crunch?
A credit crunch is when access to liquidity dries up dramatically in rapid fashion, due to a spick in borrowing rates
What are Accounting Records?
Accounting records are the supporting documents that verify the history of transactions, audits, and reports
What is a Reverse Stock Split?
A reverse stock split reduces the number of shares in circulation by effectively combining the existing shares
What are index futures?
Index futures are futures contracts written on an index in which a large position can be held with a small margin
What is “adding to a loser”?
“Adding to a loser” describes continuing investment in a stock or fund that has continued to decline