Category: Series 7

  What follows is a transcript of the video above.   There are three types of orders: market

  What follows is a transcript of the video above  Municipal Bonds  Municipal bonds are trad

  What follows is a transcript of the video above.  Let’s try a practice question:   The Cal

  Let’s try a practice question:  A client who is looking for monthly income from an investm

Financial Advisor Career: Quick Facts Median Salary $90,640 Education/Skills Needed Bachelor’s De

Taking and passing the Series 7 Top-Off Exam is necessary for launching many financial industry c

We are excited to launch our brand-new On-Demand Series 7 Training Program. The new Series 7 exam

In FINRA’s October 2018 exam restructuring, the legacy Series 7 Exam (aka the General Securities

Short and Combined Margin Account Questions on the Series 7 Exam: Key Formulas and Sample Questio

If you’re studying for the Series 7, you might find yourself getting stuck on long margin account

The Series 7 top-off exam typically includes 10-15 options questions. That’s about 10% of the 125

The new Series 7 top-off exam places more emphasis than ever on the concept of suitability. Candi

Are the Questions on the SIE Exam Different from Those on the Series 7 Top-Off Exam? In FINRA’s O

FINRA’s restructured qualification exam program is a game changer for the securities industry and

Feeling stressed is normal when taking an exam. In fact, it can be a good thing because it helps

Options strategies offer some great investment opportunities in the marketplace. But many people

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

Have questions about how to use and get the most value from your Qbank? We’ve got you covered wit

Now that you are ready to begin studying for your Series 7 Exam, we’d like to help you get

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

If you are anxious to learn more about the Series 7 Exam, this post is for you. The Series 7 exam

“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

The MSRB has recently determined that certain ABLE Accounts are subject to MSRB regulation becaus

It’s that time of year again. Recent college and graduate students are arriving in NYC to begin i

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.

Candidates preparing for the Series 7 or Series 79 should be familiar with the risks and strategi

FINRA’s new Securities Trader Qualification Examination – the Series 57 – is on

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

FINRA has published a regulatory notice (15-20) with further guidance on the Securities Industry

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

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

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

We are pleased to offer you a new playlist on our YouTube Channel to help you review Options. The

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

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

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