Broker-Dealers vs. RIAs: Key Differences for Investors

Compare broker-dealers and RIAs to understand their roles, regulations, and which suits your investment needs. Learn the key differences to make an informed choice.

Series 66 vs 63 Exam: What’s the Difference?

Compare the Series 66 and 63 exams to see how they differ, who needs each license, and which one best fits your career path ...
Miami Herald

Series 65 vs. Series 66: Key Differences

So, you’re diving into the investment world, and now you’re at the classic crossroads: Series 65 vs. Series 66. It’s like deciding whether you want to be the head coach (Series 65) or the player coach ...
JD Supra

SEC Division of Examinations publishes 2025 Examination Priorities

On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) published its annual Examination Priorities for 2025 (the “Exam Priorities ...
InvestmentNews

SIFMA urges SEC to modernize recordkeeping rules for broker-dealers and RIAs

The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication ...
Think Advisor

Who Actually Needs to Register as a Broker-Dealer? — SEC Roundup

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...