Highwire is live. The new standard for performance under pressure.
Key Concepts are one of the most valuable resources in the Knopman Marks study system. Designed to reinforce the most heavily tested material from every chapter, Key Concepts helps students focus on what matters most and build the
Read more
Balancing the demands of your career, personal life, and the Series 24 Exam can be challenging At
Are you ready to elevate your study game and train more efficiently for your Series 24 exam? We o
It’s no secret that FINRA securities licensing exams are difficult. However, these exams are a mu
Do not underestimate the Series 24 Exam! This principal-level exam is challenging, consisting pri
Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Upda
Are you in the process of preparing for a psychometric experience? The answer is “Yes” if you are
An Overview of the Series 24 Exam If you are taking the Series 24 any time soon, you’ve probably
It’s morning — and like most people on most days, hitting the snooze button is tempting. B
Preparing for a FINRA Series Exam causes some level of stress for most candidates, especially tho
The MSRB has recently determined that certain ABLE Accounts are subject to MSRB regulation becaus
Effective Monday, May 16, 2016 investors can purchase new securities through crowdfunding. In r
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.
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
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
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
The Series 24 General Securities Principal Examination has recently been revised by FINRA. The ex
Many of the FINRA qualification examinations present test candidates with various challenges, ran
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
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
When candidates sit for a FINRA exam it is critical that they deliver the knowledge they have wor
U.S. companies are required to register with the SEC and file ongoing financial disclosures if th
As featured on REP./WealthManagement.com By Harvey Knopman and Brian Marks Passing FINRA examinat
We are pleased to announce a 37 percent increase in our mobile application users in 2013. The Kno
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
Systematic risk, or market risk, is the risk of the decline in value of securities based on facto
Here at Knopman, we closely monitor FINRA changes to ensure that candidates preparing for FINRA e
The Standard and Poor’s (“S&P”) index tracks 500 stocks. It is based on the market cap
A mutual fund is an investment company that pools money from investors and invests in a portfolio
The Uniform Gift to Minors Act (UGMA) and Uniform Transfer to Minors Act (UTMA) are custodial tax