As we consider various investments, we often wish we had an edge over other investors. We would never engage in insider trading, but it would surely be good to get in on the first floor. Savvy investors rely on a great deal of information when choosing stocks....
Month: November 2022
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Should you invest in that big IPO?
If you are well informed, have read the prospectus, have learned about the company and understand the risk, investing in an initial public offering (IPO) could be potentially lucrative. If you are not, it could be a speculative or even inappropriate investment for...
What if my firm terminates me and files a false Form U5 with FINRA?
When you work as a representative of a broker dealer or investment advisory firm, you are required to register with the appropriate jurisdiction and/or self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA). If you leave your firm for...