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 […]
The objective of this article is to help candidates determine which top off exam to take once they have passed the SIE examination. If I have already passed my SIE Exam, Should I take the Series 6 or 7 Exam? Many candidates who have taken the sie exam wonder what the next step is to […]
In this article we are going to review a number of the different types of CMOs you are likely to be tested on, on your exam. Many FINRA exams have a number of questions relating to collateralized mortgage obligations. Some of the questions will be definitional in nature. Some of the questions will require you […]
In this article we are going to take a look at the mutual fund prospectus. We will review all of the information you need to know about the use and content of a mutual fund prospectus. This information is critical to passing your exam. What is a mutual Fund Prospectus? The mutual fund prospectus is […]
In our previous article we reviewed the three ways for purchasing an annuity contract. Let’s move forward here, and get a little bit more detailed about some of the specifics regarding the operation of the annuity’s separate account. When an investor contributes money into a variable annuity product, that money goes into the separate account […]
In this article we are going to review what you need to know about variable annuities to pass your FINRA exam. An annuity is a contract between an individual and an insurance company. Once the contract is entered into, the individual becomes known as the annuitant. There are several different types of annuity contracts that […]
In this article we’re going to review US Treasury securities, agency securities and collateralized mortgage obligations or CMOs. The United States government is one of the largest issuers of debt in the world. Treasury securities are issued in a variety of forms, and with a variety of maturities. We will start our review with the […]
In this article we’re going to take a look at debt securities. We are going to review how and why someone would purchase a bond. A bond, when purchased by an investor, represents a loan to the issuer in exchange for a stated interest rate. The investor’s relationship with the issuer is as that of […]
The money market is a place where issuers go to obtain short-term financing. An issuer who needs funds for a short term, typically under one year, will sell short-term instruments known as money market instruments to obtain the necessary funds. Corporations, Municipalities, and the US Government will all use the money market to obtain short-term […]
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