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FINRA Exams, Knopman News, Rule Changes, Series 65, Series 66

Overview: New SEC Regulation Best Interest (Reg BI)

June 10, 2020 by Marcia Larson No Comments

New SEC Regulation Best Interest (Reg BI) raises the bar for broker-dealer conduct when making recommendations to retail customers. Effective…

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FINRA Exams, Series 57, Study Tips

How to Pass the Series 57 Top-Off Exam

May 20, 2020 by Marcia Larson No Comments

Changes in FINRA exams almost always raise concerns for candidates that must pass them. The Series 57 exam was recently…

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FINRA Exams, Knopman News, Study Tips

How to Prepare for FINRA Remote Testing

May 19, 2020 by Marcia Larson No Comments

The COVID-19 pandemic has made taking a securities licensing exam more challenging than ever. With Prometric testing centers closed or…

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Exam News, FINRA Exams, Knopman Notes, SIE, Study Tips, Top-Off Exams

Ten Study Pitfalls to Avoid on the SIE and Series Exams

January 8, 2020 by Marcia Larson No Comments

Are you preparing for the SIE, Series 7, Series 79, or another securities exam? If you blaze your own study…

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FINRA Exams, Knopman Notes, Series 7, Series 99, SIE, Top-Off Exams

Becoming a Risk Manager

November 20, 2019 by Marcia Larson No Comments

Risk Manager Career: Quick Facts Median Salary $97,636 plus bonuses Education/Skills Needed Bachelor’s Degree in Business, Accounting, or Mathematics MBA…

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