CHECK OUT OUR NEW PACKAGES Series 52 Exam Materials Series 55 Exam Materials Series 87 Exam Materials
Regulation A+ has arrived! A long standing exemption from the rigorous registration requirements of the Securities Act of 1933 has…
Among the many provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, Congress legislated that Municipal…
FINRA has published a regulatory notice (15-20) with further guidance on the Securities Industry Essentials Examination (SIE) and its content. As discussed in…
UPDATE 5/29: FINRA has put out a request for comment and a proposed draft Securities Industry Essentials Examination (SIE) Content Outline…
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…
Subscribe to Stay Informed
ABOUT US
We are the leaders in FINRA exam preparation. Our goal of helping candidates pass their licensing exams begins the day we send material, and ends only after each individual has completed all of their qualification requirements.
“We differentiate ourselves by providing focused, specialized services to each student.” Harvey Knopman
Categories
- Exam News
- Financial Statements
- FINRA Exams
- Internship
- Interview Tips
- Knopman News
- Knopman Notes
- Pass Rates
- Program Managers
- Recruiting
- Rule Changes
- Securities Concept
- Securities Law
- Security Product
- Series 24
- Series 24 Exam
- Series 50
- Series 52
- Series 53 exam
- Series 55
- Series 57
- Series 6
- Series 63
- Series 65
- Series 66
- Series 7
- Series 79
- Series 87
- Series 99
- SIE
- Study Tips
- Top-Off Exams
- Uncategorized