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How to Win the FINRA Multi-Exam Sprint

Though it may feel daunting to take multiple FINRA exams over the course of a few weeks, Knopman Marks’ pass rates, nearly 100%, reflect the success of an approach that has been honed over decades.

Most of our formal training program students take two FINRA exams in a row, and many prepare for the trifecta—the SIE, the Series 7 or Series 79, and the Series 63 exams—over three weeks. How do our students perform under such a tight timeline? Extremely well, says Ian Franklin, Head of Product Development at Knopman Marks.

“It’s natural for students to feel worried when there’s so little time between exams,” says Franklin. “The key to success for taking multiple FINRA exams in a row is to focus on only one exam at a time. You don’t want to worry about the next exam or start studying for it until you finish your current exam. The process can feel stressful, but our students get through it and pass their exams.”

“The key to success for taking multiple FINRA exams in a row is to focus on only one exam at a time.”


How to Ace Multiple Exams in a Row

If you’re preparing to take multiple exams, remember that each exam builds on the prior one. Not only will you be primed and ready to study and perform at a high level, but the material you master for one exam will help you with your next exam.

You may be tempted to try to study for all the exams at the same time, or to get a jump start on the next exam. We advise against this.

“Focus on what’s in front of you,” Franklin says. “We provide study guidance for your next exam when you need it. Try not to jump ahead. Follow our advice, and you will optimize your studying and make the best use of your time.”

Our blended classes, combining pre-recorded videos with live review sessions, allow students to spend more time on areas of weakness to facilitate success. Learn more about blended training here.

The Big Picture


A Typical Schedule

The schedule for a student training for three exams in a row with Knopman Marks might look like this:

Top Pass Rates

The performance in our summer 2020 analyst and associate programs reflects the effectiveness of the Knopman Marks approach. The following data is based on more than 10,000 exams.



What should I do before my “classroom” training (especially for blended classes)?

Before training begins, you should expect to receive an email from us with suggested pre-work. For most exams, that pre-work is a combination of reading the book, completing a few practice exams, and reading the class summary several times. Even if you don’t have time to finish the entire book, doing the quizzes and reading the class summary is critical. 

What if I already watched the videos?

If you have already watched the videos prior to class, we recommend you re-watch videos when they’re assigned, focusing on areas that you are less familiar with or on the videos that you watched a long time ago. Once you complete that, work through the practice quizzes and spend lots of time with the class summary. Be sure to avoid completing the diagnostic and benchmark exams until they’re assigned in training.

When should I begin preparing for the FINRA exams I need to take after this one?

We recommend preparing for the exams sequentially rather than simultaneously. Just before you take one exam, we will provide the study guidance for your next exam so you can get right into your prep without wasted time. In limited cases where there are several weeks between exams, we might amend that guidance slightly, but the general rule is one exam at a time.

When is my exam?

Your firm will either schedule the FINRA exam for you and communicate this information or will give you instructions for scheduling the exam on your own. If you feel that you should have received exam scheduling correspondence by now and you have not, be sure to check in with your firm. Keep in mind that if you are part of a large training program, it could take your firm several days (or even weeks) to process the necessary paperwork. Thanks in advance for your patience.

If I miss a session, how do I get the recordings?

Please email your TA or faculty, and we will send you the recordings.

Is there a way to get a copy of the blended slides?

Yes. These are attached as a download during the training sessions.

Suzanne Riss is an author and Director of Communications at Knopman Marks Financial Training. Previously the award-winning Editor-in-Chief of Working Mother magazine, she is a fierce advocate for issues facing working moms and an authority on work/life trends. Her expertise has been tapped in interviews by The New York Times, The Wall Street Journal, Good Morning America, the Today Show, and CNN. Suzanne's third book, Work Disrupted, published by Wiley, was released in January 2021.