Securities Exam Blog

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"

To prepare for the Series 79 exam, individuals must commit 70 -80 hours to ensure comprehension and to develop a mastery of the material.  Creating  a study plan that includes reading the textbook, watching the corresponding video training and taking practice exams, is a must to prepare for the candidate for exam day. The series 79... "How To Prepare for the Series 79 Exam"

In  this article we are going to cover everything you need to know about retirement plans and how they will be tested on your FINRA Exam Retirement Plans In a taxable account, the account balance is reduced annually when the investor is taxed on interest, dividends, and capital gains. In a tax-deferred account, however, the... "All About Retirment Plans"

In the more than 25 years of helping financial services professionals pass more than 400,000 exams, we have had students tell us every possible scenario dreamed up by test takers who have “heard” stories about how FINRA exams are administered. The top 5 myths and misconceptions are as follows: Myth # 1: If you fail... "The Top 5 FINRA Exam Myths"

Let’s face it, the series 79 exam is extremely challenging. You will be required to apply deep analytical reasoning and challenging mathematical concepts. Often understanding what the questions are asking is not enough. It can be difficult to translate key concepts into mathematical equations. In this article we are going to help test takers master... "The Top Concepts and Formulas for the Series 79 exam"

In this article we are going to help you understand regulations surrounding how investment advisers market services to prospective clients.  The SEC has modernized the advertising rules for investment advisers. The new rule sets standards regarding the use of testimonials, performance-based presentations and the use of third-party rating systems. The term advertisement as defined under... "How SEC Marketing Rules for Investment Advisers are tested on the Series 65 and 66 exams"

FINRA has enacted rules to ensure that broker-dealers do not execute orders at prices that are not reasonably related to the market price for a security. An Executive Vice President of FINRA’s Market Regulation Department or Transparency Services Department or any officer designated by the Executive Vice President may declare a transaction to be clearly... "Clearly Erroneous Transactions"

FINRA Rule 3241 is designed to address the potential conflicts of interest that can arise when a registered person is named as a beneficiary, Trustee,  or executor of  a client’s estate. The intent of this rule is to ensure that registered individuals act appropriately and that the employing member carefully supervises the actions of registered... "What Is FINRA RULE 3241"

In this article we are going to provide you with a list of the 10 topics you must know in order to pass your SIE exam. 1) Primary Market – The primary Market consists exclusively of issuer to investor transactions. In a primary Market transaction the issuing entity receives the proceeds of the sale. For... "Top 10 SIE Exam Topics"