Securities Exam Blog

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"

In this article we are going to review a significant amount of information relating to the supervision of retail communications.  As you prepare to take your principal level exam, you  will want to make sure that you have mastered these topics. This information has been taken directly from our textbooks, video lectures and feedback from... "Supervision of retail communication"

Since FINRA introduced remote online testing, we have had many students elect to take their FINRA exams in this new format.  We have spoken to literally hundreds of students who have taken the exam either from their office or home.  The results, opinions and experiences varied greatly among the candidates. In this article we will... "Student feedback – FINRA online testing"

In this article we are going to review a number of different features regarding payment-in-kind bonds.  Investors who purchase this type of security may receive a coupon rate that is paid in additional bonds, shares of preferred stock or a combination of cash and securities. Some issuers, especially those who may be experiencing cash-flow problems... "Payment-in-kind bonds"

Remote testing for FINRA exams is only available in limited circumstances. The availability of remote testing has been largely reversed since the end of the pandemic. If you meet FINRA’s criteria for remote testing..Here is a comprehensive overview of the remote testing process.  Prometrics Proproctor is designed to make it easy to test anywhere, anytime... "FINRA Remote Online Testing"

 The series 3 exam is a very unique exam and stands out from other Financial Services  registration examinations. The Series 3 exam is one of the only tests administered to financial services professionals that requires the individual to successfully complete both major sections of the exam. The series 3 requires individuals to score a 70%... "What is the series 3 pass rate"

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

Objective The objective of this article is to provide test takers with the must know information about FINRA,  NASAA pre licensing exams. Once read you will have a better understanding of how the exams are administered, the testing procedures and how to prepare for your exam.     History Industry mandated licensing  requirements established by FINRA, NASAA... "10 steps to passing your FINRA exam"

When covid-19 took hold in the United States, large parts of the economy were closed to stem the spread of the virus.  The administration of FINRA licensing exams has not been immune to the shut down. This crisis has caused unique problems and challenges for regulators, broker-dealers and test-takers alike. As the Prometric test centers... "FINRA testing in the time of COVID-19"