Series 6: 1.3.5.3. Investment Analysis Tools

Taken from our Series 6 Online Guide

1.3.5.3. Investment Analysis Tools

FINRA defines an investment analysis tool as an interactive device that produces potential investment outcomes from simulations and statistical analyses by applying certain investments styles or strategies. Member firms offering such tools must provide FINRA with access to the tools within 10 business days of first use. They must also file with FINRA any template for wri

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