Before Kris Dudchak joined the faculty at Knopman Marks, he was a student here training for the SIE, Series 63 and Series 79. Like many candidates taking securities exams, Dudchak was prepared but still felt anxious. “I had
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If you are a candidate for the FINRA Series 79 Exam, you should know that there have been substan
FINRA’s restructured qualification exam program is a game changer for the securities industry and
Now that you are ready to begin studying for your Series 79 Top-Off Exam, we’d like to help you g
Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Upda
The last week before a Series exam is critical for reaching your goal. It’s “crunch time” and man
Are you in the process of preparing for a psychometric experience? The answer is “Yes” if you are
Rumor has it that Series 79 is one of the more challenging of the FINRA exams. If you are in nee
“Winning isn’t everything – it’s the only thing” – attributed to UCLA Bruins footbal
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
It’s that time of year again. Recent college and graduate students are arriving in NYC to begin i
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
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
Securities industry regulations have long maintained that within a broker-dealer, the research te
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
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
A balance sheet is one of three primary financial statements, along with the income statement and