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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How to prepare for the series 7 and 66 exams

  • April 13, 2020

How to prepare for the series 7 and 66 exams In this article we are going to address The best way to prepare for the series 7 and 66 exams along with many of the questions we receive from test takers who need to pass both exams. While each individual has different circumstances and time […]

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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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How to prepare for the exam using the series 7 textbook

  • February 26, 2020

How to prepare for the exam using the series 7 textbook Sitting down to prepare for the Series 7 Exam can seem like a daunting task when students open up a 600-page textbook.  Many test-takers don’t know how to schedule their time nor how to begin to read through the text. Here we provide some […]

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FINRA Exam Suitability

  • February 16, 2020

In this article we are going to  examine the recommendation process and review how recommendations are made to customers.  We will also analyze whether or not recommendations are suitable for the customers based on their particular situation. All recommendations must be suitable. The registered representative, when evaluating a customer’s financial status, investment objective, and other […]

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Should I take the series 7 or the Series 79 exam?

  • January 19, 2020

Should I take the series 7 or the Series 79 exam? How do you know if your investment industry job duties or the duties of one of your reps require a Series 7 license, Series 79 license or both? This depends on the activities being performed. The General Securities Representative (Series 7) examination covers a […]

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FINRA Exam Prep Issuing Securities

  • January 18, 2020

In this article we are going to take a look at how corporate securities are offered to investors for sale for the very first time. When we take a look at offering corporate securities we have to start a review with the Securities Act of 1933. The Securities Act of 1933 regulates the primary market. […]

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