Author: Securities Institute Staff

What is the best way to prepare for the SIE exam? When we get asked about passing the SIE exam, our answer is always the same. Effectively preparing for this exam requires a mix of top shelf materials and a dedicated study process. And, while we understand that every candidate is different, and thus will... "How to Pass The SIE Exam"

Failing a FINRA exam can be devastating for many test takers. Your confidence is shaken, your career or promotion can be delayed. And having to tell coworkers and loved ones that you came up short is never any fun. But there is hope and there are a lot of steps you can take to ensure... "Five Things you Must do If you Fail A FINRA Exam"

This article has been updated. Click here for the most recent information. FINRA / NASAA Exam Tips Here are some great test tips that will help you pass your exam. Don’t Question the Question – Sounds funny, but the truth of the matter is that a lot of people get into trouble on the exam... "FINRA Test Tips"

The reason the series 79 is so hard is because candidates must master a large number of analytical concepts in order to pass the series 79 exam. Not only are candidates required to master these concepts, they must also memorize a substantial number of mathematical calculations and formulas to succeed on exam day. ( See our... "What Makes The Series 79 Exam So Hard ? "

Students who are preparing for the SIE exam have many questions about how to schedule the SIE exam with a FINRA approved test center. In this article we are going to detail everything you need to know in order to open your exam window and how to schedule your exam. Studying to get ready for... "How to schedule The SIE Exam"

Most FINRA test takers are reporting seeing more questions regarding the handling of customer information. This article will help you understand these important procedures. Security of Customer Information To fight identity theft and to protect customers from having too much of their information shared with people they have never met, the SEC enacted Regulation S-P... "FINRA Customer Information Security"

In this article we will examine what you need to know about Trust and Estates to pass your FINRA exam. You can expect to see a number of questions covering these topics on the SIE, Series 7, Series 65 and series 66 exams.  Estate Planning Techniques When someone dies, the individual is referred to as... "FINRA Exam Prep Trusts and Estates"

In this article we will review issuing municipal securities as covered on the SIE and Series 7 exam.  Municipal securities are issued by municipalities including state governments, county governments, and school districts, etc. The securities issued by such municipalities typically finance the construction of roads and schools among other infrastructure projects. Unlike offerings of Facebook... "Issuing Municipal Securities"

To prepare for the Series 79 exam, individuals must commit 70 -80 hours to ensure comprehension and to develop a mastery of the material.  Creating  a study plan that includes reading the textbook, watching the corresponding video training and taking practice exams, is a must to prepare for the candidate for exam day. The series 79... "How To Prepare for the Series 79 Exam"

In  this article we are going to cover everything you need to know about retirement plans and how they will be tested on your FINRA Exam Retirement Plans In a taxable account, the account balance is reduced annually when the investor is taxed on interest, dividends, and capital gains. In a tax-deferred account, however, the... "All About Retirment Plans"