When candidates sit for a FINRA exam it is critical that they deliver the knowledge they have worked hard to…

We are excited to announce the addition of content for three more FINRA exams on the Knopman Mobile App. The…

Number of graduate Series 63 programs alone grew by 146 percent Knopman added training programs for additional FINRA exams We…

U.S. companies are required to register with the SEC and file ongoing financial disclosures if they register securities for public…

A balance sheet is one of three primary financial statements, along with the income statement and cash flow statement, used to…

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…

FINRA’s new Securities Trader Qualification Examination – the Series 57 – is on the way. FINRA has filed a proposed…

When a security transaction (e.g. a purchase or sale of securities) is not completed according to the terms to the…

UPDATE 5/29: FINRA has put out a request for comment and a proposed draft Securities Industry Essentials Examination (SIE) Content Outline…

New Research Rules FINRA’s released new research rules which generally: – reduce the research quiet periods following IPOs and secondary offerings,…

Is there a FINRA exam in your future?  If so, it’s time to refresh your study habits – FINRA exam…

Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147  Updates  Rule 147 was…