Category: Exam Content

See transcript of video below.  When a company engages in a two-to-one stock split, there is a ch

The following Is a transcript of the video above.   Let’s Try a Practice Question  In a corporate

The following is a transcript of the video above.   Let’s Try a Practice Question  The fixed rate

What Follows is a transcript of the video above.   Let’s Try a Practice Question:   Which of the

The following is a transcript of the video above.     Let’s try a Practice Question  Which two of

What follows is a transcript of the video above.  What Is a Buy Limit Order?  Is the purpose of “

What follows is the transcript of the video above.  Let’s Try a Practice Question  In which form

  The following is a transcript of the video above  Odd Split   Buy 1 ABC Jan 50 call  3:2 s

What follows is a transcript of the video above.  Let’s try a practice question   An investor buy

  What follows is a transcript of the video above  Let’s Try a Practice Question:  Reinvestm

  The following is a transcript of the video above  Let’s Try a Practice Question  A client

  What follows is a transcript of the video above.   Step-by-step Cost Basis  1 ABC July 40

  What follows is a transcript of the video above.   There are three types of orders: market

What follows is a transcript of the video recording.  Let’s try a practice question:   An investo

What follows is a transcript of the video.   Let’s try a practice question For an investor expect

Transcript of video below. Treasury notes (T-Notes) pay interest every six months and are issued

The following is a transcript of the video above.  In what type of account can short sales be exe

What follows is a transcript of the video above.  What does “cap” mean? Large cap and small cap a

Effective September 5, 2017, the standard settlement cycle for most U.S. securities transactions

The controversial Fiduciary Rule is for real.  Even though many in the industry assumed further d

Effective September 5, 2017, the standard settlement cycle for most securities transactions will

Seniors will receive increased protection from financial exploitation under new rules that were r

Now that you are ready to begin studying for your Series 7 Exam, we’d like to help you get

Keeping tabs on your summer program performance is easy with daily management reports from Knopma

Earlier this week FINRA took the next step to make the SIE Exam a reality by filing the exam rest

Setting expectations is one of the most important steps to the success of any program.  Today we

Are you in the process of preparing for a psychometric experience? The answer is “Yes” if you are

The Securities and Exchange Commission (SEC) has adopted amendments to Form ADV and the Investmen

The MSRB has recently determined that certain ABLE Accounts are subject to MSRB regulation becaus

FINRA recently published MEMBER Regulatory Notice 16-10 to clarify certain concepts regarding mun

Effective Monday, May 16, 2016  investors can purchase new securities through crowdfunding.  In r

The DOL Conflict of Interest Rule (“Fiduciary Rule”) was released April 6, 2016 after nearly six

On December 24, 2015 FINRA’s new equity research rule, Rule 2241, will go into effect. This rule

As we enter the holiday season, let’s review the FINRA Rule (3220) on gifts and gratuities.

Candidates preparing for the Series 7 or Series 79 should be familiar with the risks and strategi

The SEC recently approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules. 

New Research Rules FINRA’s released new research rules which generally: – reduce the resear

Regulation A+ has arrived! A long standing exemption from the rigorous registration requirements

FINRA has published a regulatory notice (15-20) with further guidance on the Securities Industry

If you have a securities account with a brokerage firm, or are considering opening a brokerage ac

Securities industry regulations have long maintained that within a broker-dealer, the research te

The sweeping changes in technology that have occurred over the last twenty years have enabled com

NASD Rule 2340 details information that is required on trade confirmations for special products.

An individual may not register as an associated person (e.g. registered rep) if subject to a stat

Rule 144 permits the sale of restricted stock and control stock under certain scenarios. Restrict

There are a number of rules that apply to stabilization bids. Here are a few: Only one underwrite

If a broker dealer hires a certain number of employees that have come from disciplined firms (i.e

A customer’s account can be transferred to another broker dealer even if the registered rep

A yield curve is a graph that plots the relationship between interest rates and the time to matur

Certain aspects of economic activity serve as indicators of business cycle phases. These economic

Candidates preparing for FINRA exams should be familiar with dividends, and the relevant dates su

When a security transaction (e.g. a purchase or sale of securities) is not completed according to

Rule 144A is a safe harbor exemption from the Act of ’33.  It provides that certain buyers –  Qua

The Securities Act of ’33 requires securities sold in the U.S. must be registered with the SEC, w

The Securities Act of ’33 requires securities sold in the U.S. must be registered with SEC, with

Bond yields refer to the different ways of expressing the value of a single bond. For any bond, t

Regulation S allows domestic and foreign issuers to raise capital by selling securities overseas.

Regulation D is a safe harbor that allows issuers of securities to lawfully sell unregistered sec

Rule 147 permits the sale of unregistered securities (i.e. securities that are NOT registered wit

A balance sheet is one of three primary financial statements, along with the income statement and

Dividends are a distribution of a company’s net income to shareholders. When a company generates

Basis points are financial lingo that refer to a change in a percentage. One basis point (abbrevi

An annuity is a contract between an investor and an insurance company typically used to provide r

FINRA requires communications with the public (eg advertisements, market letters, emails) to make

The Securities Investor Protection Corporation (SIPC) is a nonprofit, membership corporation, fun

Rule 105 of Regulation M under the Securities Exchange Act of 1934 prohibits investors from manip