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Securities Exam Blog

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FINRA Test Tips

By Securities Institute Staff
This article has been updated. Click here for the most recent information. FINRA / NASAA Exam Tips Here are some great test tips that will help you pass your exam. Don’t Question the Question – Sounds funny, but the truth of the matter is that a lot of people get into trouble on the exam... "FINRA Test Tips"

What Makes The Series 79 Exam So Hard ? 

By Securities Institute Staff
The reason the series 79 is so hard is because candidates must master a large number of analytical concepts in order to pass the series 79 exam. Not only are candidates required to master these concepts, they must also memorize a substantial number of mathematical calculations and formulas to succeed on exam day. ( See our... "What Makes The Series 79 Exam So Hard ? "

FINRA Customer Information Security

By Securities Institute Staff
Most FINRA test takers are reporting seeing more questions regarding the handling of customer information. This article will help you understand these important procedures. Security of Customer Information To fight identity theft and to protect customers from having too much of their information shared with people they have never met, the SEC enacted Regulation S-P... "FINRA Customer Information Security"

Issuing Municipal Securities

By Securities Institute Staff
In this article we will review issuing municipal securities as covered on the SIE and Series 7 exam.  Municipal securities are issued by municipalities including state governments, county governments, and school districts, etc. The securities issued by such municipalities typically finance the construction of roads and schools among other infrastructure projects. Unlike offerings of Facebook... "Issuing Municipal Securities"
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