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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
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Are you stressed about taking your Series 65 Exam? This is a tough exam, and many candidates who
The North American Securities Administrators Association (NASAA) periodically updates the Series
Is success on the Series 65 and Series 66 licensing exams posing a challenge for your candidates?
If you plan to be an investment adviser, you will need to take the Series 65 or Series 66 Exam. I
If you want your career to involve designing financial plans for a fee or offering fee-based acco
“I Failed the Series 65 Exam. Now What?” If it doesn’t go well the first time you take the Series
New SEC Regulation Best Interest (Reg BI) raises the bar for broker-dealer conduct when making re
Pass Series 65 and Series 66 Exams by Reg BI Deadline Passing a securities exam just got easier,
Financial Advisor Career: Quick Facts Median Salary $90,640 Education/Skills Needed Bachelor’s De
The controversial Fiduciary Rule is for real. Even though many in the industry assumed further d
Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Upda
If you plan to be in the business of providing investment advice for a fee, either the Series 65
The Securities and Exchange Commission (SEC) has adopted amendments to Form ADV and the Investmen
Effective Monday, May 16, 2016 investors can purchase new securities through crowdfunding. In r
As a candidate preparing for a state securities exam – Series 63, Series 65, or Series 66 &
The sweeping changes in technology that have occurred over the last twenty years have enabled com
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
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