Supervision of retail communication

  • September 12, 2020

In this article we are going to review a significant amount of information relating to the supervision of retail communications.  As you prepare to take your principal level exam, you  will want to make sure that you have mastered these topics. This information has been taken directly from our textbooks, video lectures and feedback from […]

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Student feedback – FINRA online testing

  • August 22, 2020

Since FINRA introduced remote online testing, we have had many students elect to take their FINRA exams in this new format.  We have spoken to literally hundreds of students who have taken the exam either from their office or home.  The results, opinions and experiences varied greatly among the candidates. In this article we will […]

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Payment-in-kind bonds

  • July 25, 2020

In this article we are going to review a number of different features regarding payment-in-kind bonds.  Investors who purchase this type of security may receive a coupon rate that is paid in additional bonds, shares of preferred stock or a combination of cash and securities. Some issuers, especially those who may be experiencing cash-flow problems […]

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FINRA Remote Online Testing

  • July 16, 2020

FINRA has announced that remote Online testing is now live and available for test takers. Here is a comprehensive overview of the remote testing process.  Prometrics Proproctor is designed to make it easy to test anywhere, anytime from your own office or even from the comfort of your home. For Test takers, getting started is […]

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10 steps to passing your FINRA exam

  • June 5, 2020

Objective The objective of this article is to provide test takers with the must know information about FINRA,  NASAA pre licensing exams. Once read you will have a better understanding of how the exams are administered, the testing procedures and how to prepare for your exam.     History Industry mandated licensing  requirements established by FINRA, NASAA […]

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FINRA testing in the time of COVID-19

  • May 8, 2020

When covid-19 took hold in the United States, large parts of the economy were closed to stem the spread of the virus.  The administration of FINRA licensing exams has not been immune to the shut down. This crisis has caused unique problems and challenges for regulators, broker-dealers and test-takers alike. As the Prometric test centers […]

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FINRA Test Taking Tips

  • March 2, 2020

In this article We are going to show you some of the must know tips and tricks to help you pick the best answer on your FINRA exam.  There will be times on your exam when you are not sure of the answer. There will also be times on your exam when you have No […]

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The Number One Reason People Fail Securities Exams

  • March 1, 2020

Can I just take the practice questions and pass the exam? NO! it is amazing how many times we hear people asking this question. Even worse, is how many times we hear that someone has failed the exam because all they did was take practice questions or maybe just “skimmed” through the book. Just taking […]

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FINRA Test Tips

  • November 26, 2018

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 by second guessing the question. Let’s face it, the questions on the […]

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