Series 57: Knopman Marks Series 57 Study Materials Now Available
We are excited to announce the release of the Knopman Marks Series 57 study materials. Our basic
FINRA’s New Equity Research Rule: Rule 2241
On December 24, 2015 FINRA’s new equity research rule, Rule 2241, will go into effect. This rule
Series 50 Municipal Advisors Exam: Study Materials Available
In anticipation of the Series 50 Pilot Examination for Municipal Advisors, we are happy to announ
Series 50 Exam: Knopman Marks Announces Release Date for Series 50 Study Material
The MSRB will be offering a Series 50 Pilot Examination for Municipal Advisors who are currently
Trade Reporting and Compliance Engine (TRACE) Rule Change: Report Bond Trades As Soon As Practicable
The SEC recently approved amendments to the Trade Reporting and Compliance Engine (TRACE) rules.
State Securities Laws – NASAA’s Annual Enforcement Report
As a candidate preparing for a state securities exam – Series 63, Series 65, or Series 66 &