Securities Exam Blog

Whether you are required to take the Series 99 exam depends on several factors. In some cases, the answer is straightforward. In others, determining who must take the Series 99 can be more complex and depends on both firm policies and FINRA requirements. First, your broker-dealer’s internal policies matter. If your firm requires you to... "Do I need to pass the series 99 exam?"

What You Need to Know On your exam you could be expected to identify the investment objectives of mutual funds bsed solely on the expense ratios provided in the test question. In this post and video taken directly from our video training classes, we will show you how to answer these questions correctly.  The mutual... "Understanding Mutual Fund Expense Ratios for Your Securities Exam"

In this article we are going to take a deep dive into the rules and regulations of 529 plans.Securities exam takers should master this material to ensure success. If you are preparing for the SIE Exam, Series 7, Series 10, or Series 65 Exam, you can expect to encounter questions covering 529 plans. Types of... "Understanding 529 Plans: Rules, Regulations and Key Exam Insights"

Understanding the types of risks involved in investing is a critical component of preparing for your upcoming securities exam.One cannot make a suitable recommendation to a client without mastering the risks associated with that investment. Saving and investing are not the same. In a savings account, the only risk is that the money will lose... "Investment Risk: A Complete Guide for Securities Exam Prep"

In this article we are going to review the types of activities that may be performed by non-registered individuals who are subject to the fingerprint requirements of FINRA. While these individuals are not required to become licensed to perform the permitted activities, their roles often provide access to sensitive information and documents. A non-registered fingerprint... "Understanding the Role of Non-Registered Fingerprint (NRF) Individuals"

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"

If you’re gearing up for the Series 79 exam, expect clean, number-driven questions that test whether you can compute—and correctly interpret—P/E and PEG. Here’s exactly how they show up and how to nail them fast. Step 1 — Calculate the P/E Ratio Let’s look at an example of SIA. SIA is trading at $50 per... "How the PE & PEG Ratios Are Tested on the Series 79 Exam"

A Side-by-Side Walkthrough for the Series 79 Exam “Your unlevered cash flow is always going to be greater than your levered cash flow.”Now let’s take a look at a side-by-side comparison of these 2 elements. This exact logic shows up often in investment banking modeling—and yes, Series 79 exam prep candidates should be comfortable with... "Unlevered vs. Levered Cash Flow"