Category: FINRA Exam Prep

In this article we are going to take a deep dive into the rules and regulations of 529 plans.Securities exam takers should master this material to ensure success. If you are preparing for the SIE Exam, Series 7, Series 10, or Series 65 Exam, you can expect to encounter questions covering 529 plans. Types of... "Understanding 529 Plans: Rules, Regulations and Key Exam Insights"

Understanding the types of risks involved in investing is a critical component of preparing for your upcoming securities exam.One cannot make a suitable recommendation to a client without mastering the risks associated with that investment. Saving and investing are not the same. In a savings account, the only risk is that the money will lose... "Investment Risk: A Complete Guide for Securities Exam Prep"

Many students want to know how much time it takes to prepare for a securities exam. We get asked this question virtually every day. When getting ready to sit for an exam students need to allocate the time required to fully prepare. Managing a study schedule in addition to work and life obligations can be... "Securities Exam Prep Time"

Having to retake a FINRA exam after a failed attempt can be a daunting task. Utilizing best practices and avoiding the common pitfalls can make all the difference.  Here we show you what you need to do to get ready for your second attempt and how to avoid common mistakes. Pitall Number 1: Keep using... "The Top Reasons People Fail A Securities Exam The Second Time"

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 by second guessing the question. Let’s face it, the questions on the... "FINRA Test Tips"

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"

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 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 # 1: If you fail... "The Top 5 FINRA Exam Myths"

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"