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Series 65, Series 66, Study Tips

How to Ace the Series 65 and Series 66 Exams

August 17, 2020 by Marcia Larson No Comments

If you want your career to involve designing financial plans for a fee or offering fee-based accounts, you’ll need to…

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Series 65, Study Tips

What to Do If You Fail the Series 65 Exam

July 31, 2020 by Marcia Larson No Comments

“I Failed the Series 65 Exam. Now What?” If it doesn’t go well the first time you take the Series…

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Exam Content, Knopman News, 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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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 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 operating at reduced…

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