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 ...

Many individual investors trust their money with large securities firms or investment dealers. Large brokerage firms typically have thousands of employees. The most recognized firms give investors ...

The price increments at which thousands of stocks and ETFs are quoted look set for an overhaul Wednesday, when the US ...

Securities fraud occurs when a party misrepresents information in order to make money in the securities market at the expense of others. Securities fraud occurs when one party illegally acts on or ...

Hedge-fund powerhouse Two Sigma is likely to pay as much as $100 million to settle a Securities and Exchange Commission ...

The U.S. Securities and Exchange Commission fined on Tuesday 12 municipal advisors more than $1.3 million to settle civil charges that they failed to preserve electronic communications such as ...

Once reserved for the ultra-wealthy, securities-based lending found a following in recent years as a popular source for funding luxury items, real estate and small businesses, among other things.

Wall Street's top regulator on Wednesday is set to adopt new rules for pricing stocks at less than a penny, part of a larger ...

When U.S. corporations are accused of establishing monopolies or misleading investors, attorneys specializing in antitrust and securities law step in to settle the score. In one recent high ...

The fund earns an Above Average Process Pillar rating. Dimensional Fund Advisors treats real estate securities differently than it does other stocks. The firm normally favors companies with low ...

Hedge fund Two Sigma is likely to have to pay as much as $100 million to resolve a U.S. Securities and Exchange Commission ...

Financial securities include equity, debt, and hybrid types, each providing different risks and controls. The SEC regulates securities but many cryptocurrencies remain unregulated, exposing investors.