New FINRA Rule 3210: Updates to Procedures for Accounts Held at other Broker-Dealers and Financial Institutions The SEC has approved…
FINRA recently published MEMBER Regulatory Notice 16-10 to clarify certain concepts regarding municipal private placements and bank loans. These points…
Effective Monday, May 16, 2016 investors can purchase new securities through crowdfunding. In recent years, internet crowdfunding has been popular for raising early-stage…
The DOL Conflict of Interest Rule (“Fiduciary Rule”) was released April 6, 2016 after nearly six years of effort. The…
We are excited to announce the release of the Knopman Marks Series 57 study materials. Our basic package includes a…
The Securities Act of 1933 is referred to as the “truth in securities” law and has two basic objectives: Requires…
General SIE Exam Guidance The SIE Exam tests candidates on securities industry knowledge and general concepts. Questions cover specific rules,…
As a candidate preparing for a state securities exam – Series 63, Series 65, or Series 66 – it is…
In FINRA’s October 2018 exam restructuring, the legacy Series 7 Exam (aka the General Securities Representative Exam) was effectively split…
Are the Questions on the SIE Exam Different from Those on the Series 7 Top-Off Exam? In FINRA’s October 1,…
Series 24 Exam 101 If you are taking the Series 24 any time soon, you’ve probably heard that this exam…
Bond yields refer to the different ways of expressing the value of a single bond. For any bond, the following…
FINRA’s new Securities Trader Qualification Examination – the Series 57 – is on the way. FINRA has filed a proposed…
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