Securities Exam Blog

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"

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,... "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"

In this article we are going to detail a number of the best practices students should employ when preparing to take the series 10 exam. We will include the answers to many questions students ask when preparing to take the General Securities Sales Supervisor Examination and we will show you some examples of student feedback... "Series 10 exam tips"

Why do I need to know so much information? The series 26 examination covers a very broad range of topics.  Many test-takers want to know why they need to know so much information that they are unlikely to use in their  role as a variable contract principal. The answer to this question is that by... "Series 26 exam Best Practices"

In this article we are going to share some of the feedback we have received from hundreds of students who have taken the series 65 exam in the last several months.  This group of students has provided us with an invaluable resource to help us prepare our clients to pass the series 65 exam. We... "Series 65 exam student feedback"