Series 65 Articles

The SEC has proposed rescinding its investment-adviser pay-to-play rule. Learn what remains in force and how SEC, FINRA, and MSRB rules differ.

The SEC’s September 2026 proposal would modernize transfer-agent rules for electronic records, faster settlement, inactive holders, restrictive legends, and investor protection.

The SEC’s August 2026 pre-IPO fraud case offers practical lessons on hidden markups, private-placement due diligence, broker-dealer registration, and FINRA exam preparation.

The SEC’s modernized Rule 605 execution-quality reports are entering the 2026 compliance regime. Learn what the new data means for best execution, broker-dealer compliance, and FINRA exam preparation.

The SEC's July 2026 Regulation E-Delivery proposal could make electronic delivery the default for many securities disclosures. Learn what it would change, what it would not change, and why delivery controls matter for FINRA exam candidates.

The SEC's amended Regulation S-P is now in force for smaller entities. Learn how incident response, customer notification, and vendor oversight connect to broker-dealer compliance and FINRA exam preparation.

The SEC's new Retail Fraud Working Group puts retail-investor scams, account takeovers, and market manipulation in sharper focus. Here is what FINRA exam candidates and new finance professionals should understand.

FINRA exams in June 2026 are not being reinvented. They are becoming more legible: fewer experimental questions, clearer remote-testing boundaries, and a licensing path that rewards knowing exactly which exam buys you which kind of permission.