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Series 79 Exam – Start Here

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.

President, Head of Performance, Faculty. When Brian came on board in 2004 he had an immediate connection with Harvey Knopman, and jumped into what he thought would be a lifelong position. He was right. In 2010, he became a partner at Knopman Marks and was nominated to our Board of Directors. In the course of his career, Brian has been featured in a number of publications for his industry knowledge and opinions, spoken at conferences and roundtables all over the country, and trained over 20,000 students. His courses are always hilarious, and his approachability and expertise make him an invaluable resource for people of all levels preparing to take their exams. At Knopman Marks, Brian also handles business strategy, course content preparation and maintenance, and financial management. Brian prepares students for the Series 3, 7, 17, 24, 57, 63, 65, 66, 79, 86/87, and 99 exams. He obtained his Bachelor’s Degree from The Wharton School of the University of Pennsylvania.