FINRA Exam Prep Trusts and Estates

  • July 2, 2023

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 […]

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All About Retirment Plans

  • April 10, 2023

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 […]

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The Top 5 FINRA Exam Myths

  • June 30, 2022

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 […]

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Series 65 exam student feedback

  • April 18, 2020

In this article we are going to share some of the feedback we have received from hundreds of students who have taken the series 65 exam in the last several months.  This group of students has provided us with an invaluable resource to help us prepare our clients to pass the series 65 exam. We […]

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Annuity payments and taxation

  • March 16, 2020

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 […]

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Investment Advisor Conflicts

  • March 7, 2020

 In this article we are going to examine the use of social media and its impact on investment advisors and their representatives.  Additionally, we will explore best practices for investment advisors to disclose potential conflicts of interest and to manage their fiduciary duty to the client. LinkedIn, this feature is almost impossible to ignore. Why […]

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FINRA test prep – variable annuity contracts

  • March 6, 2020

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 […]

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FINRA exam prep- schools of economic thought

  • March 4, 2020

In this article we are going to take a look at the impact Economic Policy can have on the overall health of the business cycle. Additionally, we will look at the approach taken by various schools of economic thought  to try to guide the economy through the business cycle. Classical economics Classical economics originated in […]

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What is Regulation Best Interest?

  • January 25, 2020

In this article we are going to examine some of the requirements of Regulation Best Interest also known as Regulation BI or Reg BI.  Regulation Best Interest  Regulation Best Interest (Reg BI) was adopted by the SEC in June of 2019 as an amendment to The Securities Exchange Act of 1934. All broker dealers, investment […]

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Should I take the series 65 or series 66 exam ?

  • May 21, 2019

There are several key differences between the series 65 and series 66 exams. Determining which exam you should take will depend on your particular circumstances. Usually students who have passed or are planning to pass the series 7 opt to take the series 66 in lieu of the series 63 exam. This allows the agent to […]

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