Rule 147 permits the sale of unregistered securities (i.e. securities that are NOT registered with the SEC) provided the issuer…
We are pleased to offer you a new playlist on our YouTube Channel to help you review Options. The Options…
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…
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…
New Research Rules FINRA’s released new research rules which generally: – reduce the research quiet periods following IPOs and secondary offerings,…
UPDATE 5/29: FINRA has put out a request for comment and a proposed draft Securities Industry Essentials Examination (SIE) Content Outline…
FINRA’s extensive Exam Restructuring Program launches October 1, 2018. It radically changes the existing representative registration process by replacing the…
Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Updates Rule 147 was…
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