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Exam Content
Study Tips
FINRA News
Course Offerings
The SIE Exam
Knopman Marks Financial Training - With you every step of the way.
  • Home
  • Exam Content
  • Study Tips
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  • Course Offerings
  • The SIE Exam
Exam Content, Series 24, Series 63, Series 65, Series 66, Series 7

Breakpoint and Breakpoint Sales

November 5, 2013 by Dave Meshkov No Comments

When investors purchase shares of a mutual fund they may be required to pay a sales charge.  Some mutual funds…

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Exam Content, Series 24, Series 65, Series 66, Series 7

Equity Call Option

October 16, 2013 by Dave Meshkov No Comments

An equity call option is a security that gives the buyer (AKA “owner” or “long”) the right, but not the…

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Exam Content, Series 65, Series 66, Series 7

Negotiable Certificates of Deposit (CDs)

June 19, 2013 by Dave Meshkov No Comments

Negotiable CDs are unsecured interest-bearing time deposits issued at face value.  These money-market securities are typically issued by banks.  The…

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