Series 7 and Series 63 are the most common financial securities licenses Mark Cussen, CMFC, has 13+ years of experience as a writer and provides financial education to military service members and the ...

The Financial Industry Regulatory Authority Inc. is probing Robinhood Financial CEO Vlad Tenev and co-founder Baiju Bhatt for not being licensed as registered brokers. The online brokerage, whose ...

Investment banking is a very broad term that includes many different areas of finance. It's really important to know what you're getting into before embarking on an investment banking career. The ...

Finra and state securities regulators have delayed the launch of online testing for securities licenses. The Financial Industry Regulatory Authority Inc. and the North American Securities ...

Understanding the world of securities licenses can be overwhelming, especially when you’re trying to determine which license suits your career path in the financial services industry. If you’re ...

Selling securities or financially advising clients requires a license, and which license a professional needs depends on a number of factors, including what type of securities are being offered for ...

Looking to kickstart a career in financial services? If you’re passionate about helping clients achieve their financial goals with products like mutual funds, variable annuities, and unit investment ...

The MarketWatch News Department was not involved in the creation of this content. Simplifying FINRA Submissions to Improve Speed, Accuracy, and the Employee Experience ROCKVILLE, Md., March 26, 2026 ...