Now that you are ready to begin studying for your Series 79 Top-Off Exam, we’d like to help you get started! Watch this video and click through below for tips to pass your exam.
Of note, in 2018, FINRA rolled out a new qualification exam process. A new exam covering a broad range of industry fundamentals, the Securities Industry Essentials (SIE) Exam, is now a requirement for all persons that wish to become registered. This means that all Series 79 candidates must now pass two exams to become registered.
With this FINRA change, Series 79 candidates must demonstrate more general industry knowledge than before. They will face questions on risks, rewards, and suitability of general securities investment recommendations; retirement plans; customer accounts; and mutual funds and options, which were previously not tested for investment banking representatives. We’re here to support you; Knopman Marks students have industry-leading pass rates on both the SIE (97%) and the Series 79 top-off exam (96%).
The SIE can be taken before or after the new Series 79 top-off exam. In fact, the SIE Exam can be taken before a candidate is employed by a financial firm. Reach out to us at any time with questions and good luck on your prep!
Update April 24, 2020: This post has been updated to reflect FINRA’s updated qualification exam process, and recent pass rates.
