Author: Securities Institute Staff

In this article we are going to help you understand regulations surrounding how investment advisers market services to prospective clients.  The SEC has modernized the advertising rules for investment advisers. The new rule sets standards regarding the use of testimonials, performance-based presentations and the use of third-party rating systems. The term advertisement as defined under... "How SEC Marketing Rules for Investment Advisers are tested on the Series 65 and 66 exams"

FINRA has enacted rules to ensure that broker-dealers do not execute orders at prices that are not reasonably related to the market price for a security. An Executive Vice President of FINRA’s Market Regulation Department or Transparency Services Department or any officer designated by the Executive Vice President may declare a transaction to be clearly... "Clearly Erroneous Transactions"

FINRA Rule 3241 is designed to address the potential conflicts of interest that can arise when a registered person is named as a beneficiary, Trustee,  or executor of  a client’s estate. The intent of this rule is to ensure that registered individuals act appropriately and that the employing member carefully supervises the actions of registered... "What Is FINRA RULE 3241"

In this article we are going to provide you with a list of the 10 topics you must know in order to pass your SIE exam. 1) Primary Market – The primary Market consists exclusively of issuer to investor transactions. In a primary Market transaction the issuing entity receives the proceeds of the sale. For... "Top 10 SIE Exam Topics"

Many test-takers who are preparing for the series 10 exam find the MSRB confirmation requirements to be  particularly challenging. There are many reasons this area causes test takers so much anxiety. First off, most representatives do not transact a significant amount of business in any of these municipal securities. Secondly, the rules and regulations regarding... "Series 10 MSRB confirmation requirements"

In this article we are going to review everything you need to know about equity securities and the rights of common stockholders to pass your SIE exam Introduction to Equity Securities When starting off a review of securities, it’s important to start off with a definition of what a security is. A great place to... "How to Ace Equity Securities on the SIE exam"

In this article we are going to review a significant amount of information relating to the supervision of retail communications.  As you prepare to take your principal level exam, you  will want to make sure that you have mastered these topics. This information has been taken directly from our textbooks, video lectures and feedback from... "Supervision of retail communication"

Since FINRA introduced remote online testing, we have had many students elect to take their FINRA exams in this new format.  We have spoken to literally hundreds of students who have taken the exam either from their office or home.  The results, opinions and experiences varied greatly among the candidates. In this article we will... "Student feedback – FINRA online testing"

In this article we are going to review a number of different features regarding payment-in-kind bonds.  Investors who purchase this type of security may receive a coupon rate that is paid in additional bonds, shares of preferred stock or a combination of cash and securities. Some issuers, especially those who may be experiencing cash-flow problems... "Payment-in-kind bonds"

Remote testing for FINRA exams is only available in limited circumstances. The availability of remote testing has been largely reversed since the end of the pandemic. If you meet FINRA’s criteria for remote testing. Here is a comprehensive overview of the remote testing process.  Prometrics Proproctor is designed to make it easy to test anywhere,... "FINRA Remote Online Testing"