Category: Series 79

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

Candidates preparing for FINRA exams should be familiar with dividends, and the relevant dates su

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

Dividends are a distribution of a company’s net income to shareholders. When a company generates

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

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

The Securities Act of 1933 is referred to as the “truth in securities” law and has tw

The Bank Secrecy Act (“BSA”) and FINRA rules (3310) require financial firms, including broker dea