Securities Exam Blog

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"

A very important test topic to master for you upcoming series 65 exam is what appears on Form ADV and how its various parts are used. An investment adviser will begin its formal registration process by filling out Form ADV. The ADV form will provide detailed information regarding the investment adviser and it is comprised... "What you Must Know About Form ADV to Pass The Series 65 Exam"

Here is some great information on the type of non-standardized options are likely to be tested on your series 7 exam. Test takers should understand the operational aspects and the uses of mini options, weekly options and binary options. Mini options The options exchanges have begun offering option contracts that allow an investor to speculate... "New Option Topics Tested on The Series 7 Exam"

Here is some great information on how trusts may be tested on your series 65 exam. Trusts may be revocable or irrevocable. With a revocable trust, the individual who established the trust and contributes assets to the trust, known as the grantor or settlor , may, as the name suggests, revoke the trust and take... "Series 65 Exam Tip"