Category: Series 66 Exam Prep

How to Pass the Series 66 Examand become licensed to represent both an Investment Adviser and a broker dealer What is the best way to prepare for the Series 66 exam ? We get asked this question all the time. The answers is that, while everyone learns in a different way, there are certain steps that... "How To Pass The Series 66 Securities Exam"

Understanding Laws And Regulations On The Series 66 ExamThe Uniform Combined State Law Examination One of the keys to passing the Series 66 exam is to make sure that you have a complete understanding of how laws and regulations will be tested on the Series 66 Exam. This article which was produced from material contained... "Understanding Laws And Regulations"

Understanding Broker Dealer And Agent Registration On The Series 66 ExamThe Uniform Combined State Law Examination One of the keys to passing the Series 66 exam is to make sure that you have a complete understanding of how broker dealer and agent registration will be tested on the Series 66 Exam. This article which was... "Understanding Broker Dealer And Agent Registration"

Mastering The Role Of The Investment Adviser On The Series 66 ExamThe Uniform Combined State Law Examination One of the keys to passing the Series 66 exam is to make sure that you have a complete understanding of how investment recommendations will be tested on the Series 66 Exam. This article which was produced from... "Mastering The Role Of The Investment Adviser"

Mastering Investment Recommendations On The Series 66 ExamThe Uniform Combined State Law Examination One of the keys to passing the Series 66 exam is to make sure that you have a complete understanding of how investment recommendations will be tested on the Series 66 Exam. This article which was produced from material contained in our... "Mastering Investment Recommendations"

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  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... "All About Retirment Plans"

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 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"

How to prepare for the series 7 and 66 exams In this article we are going to address The best way to prepare for the series 7 and 66 exams along with many of the questions we receive from test takers who need to pass both exams. While each individual has different circumstances and time... "How to prepare for the series 7 and 66 exams"