Series 65 exam student feedback

  • April 18, 2020

In this article we are going to share some of the feedback we have received from hundreds of students who have taken the series 65 exam in the last several months.  This group of students has provided us with an invaluable resource to help us prepare our clients to pass the series 65 exam. We […]

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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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Investment Advisor Conflicts

  • March 7, 2020

 In this article we are going to examine the use of social media and its impact on investment advisors and their representatives.  Additionally, we will explore best practices for investment advisors to disclose potential conflicts of interest and to manage their fiduciary duty to the client. LinkedIn, this feature is almost impossible to ignore. Why […]

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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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FINRA exam prep- schools of economic thought

  • March 4, 2020

In this article we are going to take a look at the impact Economic Policy can have on the overall health of the business cycle. Additionally, we will look at the approach taken by various schools of economic thought  to try to guide the economy through the business cycle. Classical economics Classical economics originated in […]

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What is Regulation Best Interest?

  • January 25, 2020

In this article we are going to examine some of the requirements of Regulation Best Interest also known as Regulation BI or Reg BI.  Regulation Best Interest  Regulation Best Interest (Reg BI) was adopted by the SEC in June of 2019 as an amendment to The Securities Exchange Act of 1934. All broker dealers, investment […]

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Should I take the series 65 or series 66 exam ?

  • May 21, 2019

There are several key differences between the series 65 and series 66 exams. Determining which exam you should take will depend on your particular circumstances.  Regardless of which exam you choose to take, our series 65 and 66 training packages offer you a greenlight money back pass guarantee The Series 65 is the Uniform investment […]

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Requirements for ERISA Advisers and Service Providers

  • December 18, 2018

Advisers and other service providers to most ERISA-covered plans must disclose their fees, following a U.S. Department of Labor (DOL) regulation that became effective July 1, 2012. These regulations are designed to dovetail with corresponding regulations that require plans to disclose service provider information to DOL in a timely manner. A service provider’s failure to […]

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Series 65 Security Valuation and Analysis

  • December 6, 2018

Here is some great information on dividend valuation models and statistical analysis to help you pass your series 65 exam Dividend Valuation models A fundamental analysts may use a dividend valuation model to determine a fair valuation for an equity security and to determine if an investment is warranted The two dividend valuation models most […]

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What you need to know about TIPS, Eurbonds and CDS to pass your Exam

  • December 6, 2018

Here is what you need to know about TIPS, Eurobonds and credit default swaps or CDS to pass your FINRA Exams Treasury Inflation Protected Securities or TIPS are direct obligations that are designed to protect investors from the negative impact of inflation. A conservative investor purchases a TIP with a coupon rate of 4 percent. […]

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