Author: Securities Institute Staff

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"

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 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"

Here are some great series 3 test tips to master for your series 3 exam. Students need to master the economic factors that can impact the prices of commodities one of the important factors is supply and demand elasticity. The supply and demand for any given commodity may be elastic or inelastic based on changes... "Series 3 Test Tips"

Crowdfunding has become a popular way for issuers to raise capital from small investors. Issuers may offer securities to investors for purchase through a broker dealer or through a registered crowdfunding portal. The portal must be registered with the SEC and must also be a FINRA member firm. Issuers who raise capital through crowdfunding may... "What is Tested On Crowd Funding"

Offering of Securities by FINRA Members When a FINRA member firm wishes to raise money by offering securities for sale to investors special rules apply to the offering. When a FINRA member firm goes public it may not underwrite its own securities. The member wishing to go public must engage the services of a qualified... "Series 24 Test tip Member offerings"