The Series 79 exam, also known as the Investment Banking Representative Exam, is a licensing exam administered by the Financial Industry Regulatory Authority (FINRA) for professionals seeking to become an investment banking representative. The exam covers a wide range of topics related to investment banking, and it tests candidates on their knowledge of finance, accounting, […]
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 […]
In the more than 25 years of helping financial services professionals pass more than 400,000 exams, we have had students tell us every possible scenario dreamed up by test takers who have “heard” stories about how FINRA exams are administered. The top 5 myths and misconceptions are as follows: Myth # 5: If you fail […]
Let’s face it, the series 79 exam is extremely challenging. You will be required to apply deep analytical reasoning and challenging mathematical concepts. Even if you understand what the questions are asking, it can be difficult to translate the key concepts into mathematical equations. In this article we are going to help test takers master […]
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 […]
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 […]
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 […]
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 […]
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 […]
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 […]
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