A detailed exploration of the Central Registration Depository (CRD), its historical context, functionality, importance in the financial industry, and more.
An overview of CREST, an electronic share settlement system established by the Bank of England for the securities industry, its history, operations, and significance.
Form U5 is a regulatory form used to terminate the registration of individuals from financial firms in the securities industry.
The Securities Industry Essentials (SIE) exam is a prerequisite for the Series 7 exam, testing basic industry knowledge essential for careers in the securities industry.
An in-depth exploration of the Know-Your-Customer (KYC) Rule, an ethical concept in the securities industry that ensures the suitability of financial transactions for customers.
Comprehensive look at the National Association of Securities Dealers, its role, history, and transformation into FINRA.
