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Securities Exam Blog

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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"

How To Prepare for the Series 79 Exam

By Securities Institute Staff
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"

The Top Concepts and Formulas for the Series 79 exam

By Securities Institute Staff
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"

How SEC Marketing Rules for Investment Advisers are tested on the Series 65 and 66 exams

By Securities Institute Staff
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"
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