Registration process Archives

Two lands connected by a bridge: Series 63 and Securities Regulations. Exam takers carry ethics and knowledge torches to connect the two.

Understanding the Series 63 Securities Exam and License for Professional Investors

July 3, 2025 FinanceFacts101 Business Finance

Background of the Series 63 Exam and License The Series 63 exam is a critical component for individuals aspiring to enter the securities industry, particularly in most U.S. states. The Series 63 license allows a registered representative to solicit orders for various types of securities within a state. To qualify

National Futures Association (NFA): Role, Responsibilities, and Regulation of U.S. Derivatives Markets

March 31, 2025 FinanceFacts101 Business Finance

Introduction to the National Futures Association (NFA) The National Futures Association (NFA) stands as a vital independent self-regulatory organization for the U.S. futures and derivatives markets. Established in 1982, NFA has been designated by the Commodity Futures Trading Commission (CFTC) to safeguard the integrity of these markets, protect investors, and

Understanding Aktiengesellschaft (AG): German Public Limited Companies

April 7, 2024 FinanceFacts101 Business Strategy

Definition and Overview of Aktiengesellschaft Aktiengesellschaft (AG) is an essential term in the world of German business and finance. AG translates to ‘public limited company’ in English, denoting a corporation whose shares are publicly traded on a stock exchange. The name itself reflects its characteristics: “Aktien” meaning share, and “Gesellschaft”