I passed the SIE exam Should I take the series 6 or 7

  • June 21, 2020

The objective of this article is to help candidates determine which  top off exam  to take once they have passed the SIE examination. If I have already passed my SIE Exam, Should I take the Series 6 or 7 Exam.  Many candidates who have taken the sie exam wonder what the next step is to […]

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All About CMOs

  • April 9, 2020

In this article we are going to review a number of the different types of CMOs you are likely to be tested on, on your exam.  Many FINRA exams have a number of questions relating to collateralized mortgage obligations. Some of the questions will be definitional in nature. Some of the questions will require you […]

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mutual fund prospectus

  • April 8, 2020

In this article we are going to take a look at the mutual fund prospectus. We will review all of the information you need to know about the use and content of a mutual fund prospectus. This information is critical to passing your exam. What is a mutual Fund Prospectus? The mutual fund prospectus is […]

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Annuity payments and taxation

  • March 16, 2020

In our previous article we reviewed the three ways for purchasing an annuity contract. Let’s move forward here, and get a little bit more detailed about some of the specifics regarding the operation of the annuity’s separate account. When an investor contributes money into a variable annuity product, that money goes into the separate account […]

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FINRA test prep – variable annuity contracts

  • March 6, 2020

In this article we are going to review what you need to know about variable annuities to pass your FINRA exam. An annuity is a contract between an individual and an insurance company. Once the contract is entered into, the individual becomes known as the annuitant. There are several different types of annuity contracts that […]

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Government securities FINRA test prep

  • February 17, 2020

In this article we’re going to review US Treasury securities,  agency securities and collateralized mortgage obligations or CMOs.  The United States government is one of the largest issuers of debt in the world. Treasury securities are issued in a variety of forms, and  with a variety of maturities. We will start our review with the […]

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FINRA Test Prep – Debt Securities

  • February 15, 2020

 In this article we’re going to take a look at debt securities. We are going to review how and why someone would purchase a bond. A bond, when purchased by an investor, represents a loan to the issuer in exchange for a stated interest rate. The investor’s relationship with the issuer is as that of […]

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Must know money market instruments

  • December 16, 2018

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 […]

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