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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Issuing Municipal Securities

  • June 30, 2023

In this article we will review issuing municipal securities as covered on the SIE and Series 7 exam.  Municipal securities are issued by municipalities including state governments, county governments, and school districts, etc. The securities issued by such municipalities typically finance the construction of roads and schools among other infrastructure projects. Unlike offerings of Facebook […]

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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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I passed the SIE exam Should I take the series 6 or 7

  • June 21, 2020

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 […]

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How to prepare for the series 7 and 66 exams

  • April 13, 2020

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 […]

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All About Collateralized Mortgage Obligations

  • April 9, 2020

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 […]

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mutual fund prospectus

  • April 8, 2020

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 […]

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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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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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