FINRA Releases Statistics on New SIE and Top-Off Exams The new Securities Industry Essentials (SIE) Exam was the first modification…
When preparing for Financial Industry Regulatory Authority (FINRA) exams, knowledge isn’t all that matters. It is important to incorporate time…
Knopman Marks Financial Training is pleased to announce its partnership with the University of Iowa for Securities Industry Essentials (SIE) Exam…
Introducing Knopman Marks Action Plans A new tool to monitor your progress and help you study smarter. Our new Action Plans…
Do I Need to Take the SIE? The financial industry offers immense career opportunity. Individuals of all ages and backgrounds…
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…
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…
Are the Questions on the SIE Exam Different from Those on the Series 7 Top-Off Exam? In FINRA’s October 1,…
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