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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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Reading time: 4 min
Exam Content, Knopman News

The SECURE Act: How It Will Impact Your Securities Exam

January 27, 2020 by Suzanne Riss No Comments

A new retirement savings law, the Setting Every Community Up for Retirement Enhancement Act (the SECURE Act), took effect January…

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Reading time: 2 min
Exam Content, SIE

Exploring the Sell Side of the Financial Markets

October 16, 2019 by Marcia Larson No Comments

The buy side and sell side are the two “hemispheres” of the financial markets. While the buy side spends money…

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Reading time: 3 min
Exam Content, Knopman News, Series 7, Study Tips

How to Answer Short and Combined Margin Account Questions on the Series 7

May 15, 2019 by Marcia Larson No Comments

Short and Combined Margin Account Questions on the Series 7 Exam: Key Formulas and Sample Questions Margin account questions on…

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Reading time: 7 min
Exam Content, Knopman News, Series 7, Study Tips

Tips for Long Margin Account Questions on the Series 7 Exam

May 10, 2019 by Marcia Larson No Comments

If you’re studying for the Series 7, you might find yourself getting stuck on long margin account questions. If so,…

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Reading time: 8 min
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