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Make the Most of Your FINRA Exam Prep Class

A live prep class experience is one of the best ways to streamline your FINRA exam study process.  Highly trained instructors will “spoon feed” you the most highly tested information, along with insightful tips for mastery of complicated material.  Your responsibility is to come prepared to make the most of every minute. 

When to Take Class

Most exam candidates view class as a near-final step in their prep process.  But it can also be beneficial to take class early in your study process as an introduction to the exam – especially if your prep window allows you to come back or you haven’t taken a lengthy exam recently. Candidates often forget that they can attend the full class or any portion of it as many times as they like within a year — without additional cost. All you have to do is contact [email protected] or call 212-686-6899 to let us know when you plan to attend.

Tips for a Stellar Class Experience

  • Come prepared with your Class Handout. Download and print this from the introductory email you received from [email protected].  The handout is structured for easy note taking and is a valuable guide for final review.


  • Don’t expect all the material in the book to be covered. Class is a complement to — not a replacement for — the study you do on your own. Instructors ensure the most consistently tested material is well addressed, and you will pick up additional points for the less consistently tested topics from practice questions.


  • Off target questions disrupt momentum. Although FINRA guards the content of Series exams closely, instructors are trained to deliver specific, highly tested content – not “nice to know” trivia. Going off on “interesting” tangents during class time doesn’t help you or your fellow classmates pass.  Meet with your instructor at breaks to address questions that are out of scope.


  • Keep an open mind to new ways of understanding complex topics. Instructors often provide memory tricks and simplified approaches that trigger a “light bulb” reaction.  Be willing to try new things!


  • Prioritize a good night’s sleep. Although it’s great to hit the books after class while the material is fresh, make sure you don’t overdo so you get enough rest.  And put your social schedule on hold.  Class is exhausting – be at your best so you don’t miss a thing.


  • Practical knowledge about a particular topic doesn’t guarantee a right answer on your exam. In many cases the “test world” is different than the “real world”, so sometimes you have to forget what you know for your exam. The instructor will help you stay focused on how the material is tested, but don’t be surprised if it sometimes differs from how things work in practice.


  • Highlight or mark topics in your class handout that need work. A great strategy is to use the KIT lectures (Knopman Internet Training) to fill in gaps or just hear the info one more time.  You can start and stop these as often as you need to thoroughly digest the material.  Check with [email protected] if you need more information about these on demand lectures.


  • Give yourself sufficient post-class review time before you test. A week or so before your test date helps you peak at the right time and put your class takeaways into practice.  The days after class are great time to complete the diagnostic and benchmark exams that are a part of your supplement.  You’ll see your scores continue to rise!

Knopman Marks is just a phone call or email away if you need us. See you at class!


Marcia Larson is Vice President, Faculty, at Knopman Marks Financial Training, New York, NY. She has extensive experience in financial licensing and regulatory training, having authored, developed and presented courseware for numerous securities and insurance exam preparation and continuing education and compliance programs. Before joining Knopman Marks, Marcia was Director of Annuity Products and Business Development at CUNA Mutual Group, where she developed and marketed industry-leading annuity products and retirement solutions and implemented distribution relationships. She was previously VP, Securities Products for Kaplan Financial, managing securities training products and subsequently, international training and businesses development. Marcia has trained thousands of financial industry exam candidates throughout their careers, and also college students as an adjunct professor. Marcia was a summa cum laude graduate of Wartburg College with degrees in Business Administration and Piano Performance. Marcia also holds the designations of Chartered Financial Consultant® (ChFC®), Chartered Life Underwriter (CLU®), Certified Employee Benefit Specialist (CEBS), and Fellow Life Management Institute™ (FLMI®). She currently teaches the SIE, Series 6, 7, 24, 50, 52, 63, 65, and 66 exams.