The Series 63 exam is not a requirement for those who work at a registered investment advisor (RIA) firm. But it might be of interest if you plan to sell securities products through a broker-dealer.

According to the update, the rule (15c3-3), which requires broker-dealers to keep customer securities safe, doesn’t apply if a crypto asset isn’t a security. But if it is a security, broker-dealers ...

Explore the full scope of the survey results, download the report. Sponsored by Kestra Financial Read the findings of our latest study, sponsored by Kestra Financial, that asked financial ...

In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...