Securities Exam Blog

Here are some great series 3 test tips to master for your series 3 exam. Students need to master the economic factors that can impact the prices of commodities one of the important factors is supply and demand elasticity. The supply and demand for any given commodity may be elastic or inelastic based on changes... "Series 3 Test Tips"

Crowdfunding has become a popular way for issuers to raise capital from small investors. Issuers may offer securities to investors for purchase through a broker dealer or through a registered crowdfunding portal. The portal must be registered with the SEC and must also be a FINRA member firm. Issuers who raise capital through crowdfunding may... "What is Tested On Crowd Funding"

Here is what you need to know about TIPS, Eurobonds and credit default swaps or CDS to pass your FINRA Exams Treasury Inflation Protected Securities or TIPS are direct obligations that are designed to protect investors from the negative impact of inflation. A conservative investor purchases a TIP with a coupon rate of 4 percent.... "What you need to know about TIPS, Eurbonds and CDS to pass your Exam"

Here is some great information on dividend valuation models and statistical analysis to help you pass your series 65 exam Dividend Valuation models A fundamental analysts may use a dividend valuation model to determine a fair valuation for an equity security and to determine if an investment is warranted The two dividend valuation models most... "Series 65 Security Valuation and Analysis"

Here are some of the key points that you need to know about market maker registration and responsibility to help you pass you series 24 exam. All broker dealers that wish to register as a market maker must file an application with FINRA and demonstrate that they are in good standing with FINRA and that... "Series 24 market maker registration and responsibility"

The SEC enacted the use of a Limit UP Limit Down (LULD) rule. This rule is designed to ensure that prices of individual securities reflect fundamental prices based on supply and demand and do not move outside of established parameters based on errors or manipulative actions. Upper and lower trading bands will be established based... "What is the Limit Up – Limit Down Rule?"

Offering of Securities by FINRA Members When a FINRA member firm wishes to raise money by offering securities for sale to investors special rules apply to the offering. When a FINRA member firm goes public it may not underwrite its own securities. The member wishing to go public must engage the services of a qualified... "Series 24 Test tip Member offerings"

If you are taking The SIE exam, the Series 7 series 24 or series 99 exam, here are the must know facts about margin accounts to ensure you pass your exam. The Federal Reserve Board sets the amount that must be deposited when customers purchase securities using borrowed funds. This is known as the initial... "Must know Tips for Margin Accounts"

The money market is a place where issuers go to obtain short-term financing. An issuer who needs funds for a short term, typically under one year, will sell short-term instruments known as money market instruments to obtain the necessary funds. Corporations, Municipalities, and the US Government will all use the money market to obtain short-term... "Must know money market instruments"