FINRA has announced an exclusive exam delivery relationship with Prometric beginning January 1, 2018. This relationship applies to all FINRA…
The MSRB recently amended its customer complaint and related investor brochure rules (Rule G-10). Registered municipal dealers, broker-dealers, and municipal…
Just a short while ago, you left a life-changing experience. You saw and experienced many new lessons that will serve…
Here at Knopman Marks, we’ve been working hard to create a learning experience that inspires. The goal was simple: delight…
According to current reports, more than 90 percent of recruiters and employers use social media in evaluating job candidates. A…
The Securities Act of 1933 is referred to as the “truth in securities” law and has two basic objectives: Requires…
As a candidate preparing for a state securities exam – Series 63, Series 65, or Series 66 – it is…
General SIE Exam Guidance The SIE Exam tests candidates on securities industry knowledge and general concepts. Questions cover specific rules,…
FINRA’s new Securities Trader Qualification Examination – the Series 57 – is on the way. FINRA has filed a proposed…
Are the Questions on the SIE Exam Different from Those on the Series 7 Top-Off Exam? In FINRA’s October 1,…
FINRA’s extensive Exam Restructuring Program launches October 1, 2018. It radically changes the existing representative registration process by replacing the…
Series 24 Exam 101 If you are taking the Series 24 any time soon, you’ve probably heard that this exam…
When a security transaction (e.g. a purchase or sale of securities) is not completed according to the terms to the…
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