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Test Taking Tips and Tricks

When candidates sit for a FINRA exam it is
critical that they deliver the knowledge they have worked hard to understand and master during their course of study.  Each question offers an opportunity to demonstrate competency and familiarity with the rules, regulations and securities products and their characteristics.  Here are some tips to ensure you answer the most questions accurately and correctly:

  1. Read the question stem (body of the question) slowly and carefully – be sure to watch for formulations where the regulators use EXCEPT.
  2. Candidates can try to formulate a potential answer before reading the answer choices.  This helps narrow the choices and guide candidates to the correct answer.
  3. Read ALL of the answer choices, even if it appears an early answer is good, there may be a better answer below.
  4. Be sure to use your instinct and intuition – in general, a candidate’s first choice is a better answer than one that is selected after wavering or second-guessing.  But, in the event of a clear error, such as a misread question, candidates are advised to change their answer.

As always, going into the exam well-rested and with a calm, confident attitude will serve test-takers well.  The proper preparation and good night sleep are key aspects to a successful exam preparation program.

Relevant Exams
Series 7, Series 24, Series 65, Series 66, Series 79,

Dave's mission (and job: Managing Director of Course Design) is to make FINRA exam training engaging, approachable, and dare he even say, enjoyable. Having trained and coached over ten thousand students to exam success he knows how to present complex subjects in memorable and understandable ways. Prior to joining Knopman Marks in 2011, Dave practiced bankruptcy law at Weil, Gotshal & Manages and served as a law clerk in a the Southern District of New York Bankruptcy Court working on the General Motors and Lehman Brothers bankruptcies. Building on his legal expertise and training allows him to keep all our courses updated with the latest legislative and rule-making changes. Dave currently trains for the Securities Industry Essentials (SIE) exam and the Top-Off Series 6, 7, 24, 57, 63, 65, 66, 79, 86, 87, and 99 exams. He also delivers executive one-on-one training and shares his passion for learning outside of work as a ski instructor and yoga teacher. Dave graduated magna cum laude from Fordham Law School, and cum laude with a BA from the University of Pennsylvania.