Author: Securities Institute Staff

In this article we are going to examine some of the requirements of Regulation Best Interest also known as Regulation BI or Reg BI.  Regulation Best Interest  Regulation Best Interest (Reg BI) was adopted by the SEC in June of 2019 as an amendment to The Securities Exchange Act of 1934. All broker dealers, investment... "What is Regulation Best Interest?"

Determining if you are required to take the series 99 exam can depend on many factors.  In some cases it is very straightforward, and in other cases the question may be more complex. If your firm tells you that you must pass the series 99 exam, regardless of whether or not FINRA would require you... "Do I need to take the series 99 exam?"

In this article we are going to examine some of the complex issues that can arise when registered representatives use social media for business purposes. In addition to the requirements for registered Representatives who use social media we will look at  some of the compliance responsibilities for the employing broker-dealer. The use of social media... "FINRA Test Prep – Supervision of Social Media"

Should I take the series 7 or the Series 79 exam? How do you know if your investment industry job duties or the duties of one of your reps require a Series 7 license, a Series 79 license or both? This depends on the activities being performed. The General Securities Representative (Series 7) examination covers... "Should I take the series 7 or the Series 79 exam?"

In this article we are going to take a look at employee conduct and the conduct of registered representatives.  Virtually all FINRA exams will test the rules and regulations relating to professional conduct in the Securities industry.   This article will highlight a number of prohibited practices that you are likely to see on your... "Securities Exam Prep – Prohibited Conduct"

In this article we are going to take a look at the role of broker-dealers who operate in the NASDAQ environment.  If I were to ask you where NASDAQ is, it would be much the same as me asking you where is the internet– it’s nowhere and it’s everywhere. It’s a computer network throughout the... "FINRA Exam Prep – The Role of the Broker Dealer"

In this article we are going to take a look at how corporate securities are offered to investors for sale for the very first time. When we take a look at offering corporate securities we have to start a review with the Securities Act of 1933. The Securities Act of 1933 regulates the primary market.... "FINRA Exam Prep Issuing Securities"

Here are 10 terms you must know in order to successfully complete the series 22 exam:  1031 exchange Internal Revenue Code 1031 allows  investors to exchange certain types of properties without recognizing a capital gain or Capital loss on the exchange. The property exchange must include properties of like-kind and must be held for investment... "The 10 Terms you Must know to pass the series 22 exam"

There are several key differences between the series 65 and series 66 exams. Determining which exam you should take will depend on your particular circumstances. Usually students who have passed or are planning to pass the series 7 opt to take the series 66 in lieu of the series 63 exam. This allows the agent to... "Should I take the series 65 or series 66 exam ?"

A condor spread is similar to a butterfly spread and is the simultaneous establishment of both a bull spread and a bear spread on the same underlying security. A condor spread however, has two inner strikes in the center of the position instead of one in a butterfly spread. A condor spread contains four options... "What is a condor spread"