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Exam Content, Pass Rates, Series 65, Series 66, Study Tips

What You Need to Pass the Series 65 and Series 66 Exams

March 11, 2021 by Marcia Larson No Comments

If you plan to be an investment adviser, you will need to take the Series 65 or Series 66 Exam. In response to student feedback, Knopman Marks training for the Series…

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

What You Need to Know: New Crowdfunding and Exemption Regulations

March 5, 2021 by Marcia Larson No Comments

Effective March 15, a new SEC regulation will change certain registration exemptions to increase and streamline access to capital. These…

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Reading time: 7 min
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
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