Category: SIE Exam Prep

In this article and accompanying video we will review everything you need to know about how option exercise and assignments work for the SIE & Series 7 Exam We will start off with a vital fact about counterparty risk. Counterparty risk occurs when the seller of the option cannot meet their obligations under the terms... "Option Exercise & Assignment"

Test takers often feel overwhelmed when preparing to take exams. Being required to pass two or more exams may seem even more challenging. Getting Started with the SIE & Series 7 exam.  In this video and article we will provide you with the essential first steps to begin your preparation. Both exams require serious commitment... "SIE & Series 7 Exam – Getting Started"

What is the best way to prepare for the SIE exam? When we get asked about passing the SIE exam, our answer is always the same. Effectively preparing for this exam requires a mix of top shelf materials and a dedicated study process. And, while we understand that every candidate is different, and thus will... "How to Pass The SIE Exam"

Students who are preparing for the SIE exam have many questions about how to schedule the SIE exam with a FINRA approved test center. In this article we are going to detail everything you need to know in order to open your exam window and how to schedule your exam. Studying to get ready for... "How to schedule The SIE Exam"

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 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... "Issuing Municipal Securities"

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 provide you with a list of the 10 topics you must know in order to pass your SIE exam. 1) Primary Market – The primary Market consists exclusively of issuer to investor transactions. In a primary Market transaction the issuing entity receives the proceeds of the sale. For... "Top 10 SIE Exam Topics"

In this article we are going to review everything you need to know about equity securities and the rights of common stockholders to pass your SIE exam Introduction to Equity Securities When starting off a review of securities, it’s important to start off with a definition of what a security is. A great place to... "How to Ace Equity Securities on the SIE exam"