Finance

This trade association for the banking industry advocates for policies and provides continuing education opportunities. Many resources on the site are not free, however position papers and news on banking issues are often available.

"CFA Institute is an international, nonprofit organization of more than 70,000 investment practitioners and educators in over 100 countries. CFA Institute administers the CFA Examination." Site has professional ethics standards, professional development opportunities, policy statements, Research Foundation publications, and career resources (members only). CFA Exam materials include sample exams and study guides.

The CFP Board "is a professional regulatory organization based in the United States of America that fosters professional standards in personal financial planning so that the public has access to and benefits from competent and ethical financial planning." At the site you can learn about financial planning and CFP certification; search for a certified financial planner; or report a complaint about a CFP.

FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers. FINRA is not part of the government. FINRA is a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. FINRA: writes & enforces rules governing the activities of broker-dealers, examines firms for compliance with those rules, fosters market transparency and educates investors.

To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. You must pass the exams prior to engaging in those areas of the business. These exams cover a broad range of subjects on the markets, and the securities industry and its regulatory structure. This includes knowledge of FINRA rules and also the rules of other self-regulatory organizations (SROs). These include Series 3-10.