Frequently Asked Questions

Yes. You can sign up for a demo account and check out our new Training Center experience by navigating to this page: https://knopman.com/why-choose-us 

You must be sponsored by a FINRA member firm in order to take most exams. Those that do not require sponsorship include: Series 3, 63, 65, 66, and SIE.

Learn more about sponsorship and consider the SIE exam if you aren't sponsored.

Our classes are geared exclusively towards examination prep. For exams that do require a sponsor, we discourage non sponsored candidates from attending the class.

In October 2018, FINRA retired all legacy exams. Now in order to obtain a license candidates are required to take BOTH the SIE Exam and a Top-Off Exam.

We provide a unique step-by-step Action Plan for each exam that will guide you efficiently and effectively through the course materials. 

We have a mobile app available for iOS download where you can watch and download our on-demand video lectures and view our flashcards. You can access the full online Training Center on any mobile device as long as you have access to a web browser. 

The video lectures are pre-recorded programs, intended specifically for an online user. The video lectures and the live classes do cover similar content so you do not need to both watch the video lectures and attend a live class. 

Due to COVID-19, all of our classes are being held virtually until further notice.

Yes, you are welcome to attend a class more than once if you did not pass an exam. Just be sure that your enrollment is still active. (Your enrollment in our study courses is good for one year from the purchase date or until you pass the exam.) 

The video lectures cover the same content as the traditional faculty lead live class. The videos are shorter because we don’t stop for breaks or to answer questions.

Knopman Marks Financial Training students have access to our content, materials and support until they pass their exam or for up to 1 year from their enrollment date.

We have tutoring available at an additional fee for all candidates who have purchased our  materials. Our tutoring sessions vary student by student and are designed specifically around your needs and your current study progress. The number of hours you may need can vary as well depending on how much work you do on your own, whether you are looking for someone to guide you through the majority of the material or just to do some drills and practice questions, etc. To learn more about private tutoring, please contact [email protected] as far in advance as possible so we can book sessions on the calendar. There is an additional hourly rate of $500 for private tutoring.

If your firm is interested in a private class, please contact our office for details: [email protected] or 212.626.6899.

Work with your compliance department to open your exam window. They will provide a candidate number that you can use to schedule your exam at a Prometric Center at https://www.prometric.com/. We don’t handle the scheduling of the actual exam.The cost of the exam varies, but you can check this site for details.

The exam is administered via the FINRA PROCTOR system at Prometric testing centers. You can check out Prometric Center locations here: https://www.prometric.com/

If testing remotely, we recommend reviewing FINRA’s informational page here. We also have a helpful blog post about what to expect when testing remotely that you can read here.

FINRA has approved remote testing through Prometric’s Pro-Proctor system for SIE, Series 3, Series 6, Series 7, Series 63, Series 65 and Series 66 exams. FINRA is also adopting an interim accommodation request process to allow candidates to take additional FINRA exams online, including the Series 24, Series 57, Series 79 and Series 99 exams. To learn more about the remote testing process, check THIS SITE. When you test remotely, you must meet system requirements and will use online scratch paper and an online calculator.

If testing in person, plan on arriving at the testing center at least 30 minutes prior to your scheduled start time.  You should bring with you an active government issued identification (e.g. driver's license or passport).  Ensure the last name on your I.D. is the same as your last name on your registration form with your firm. You will be required to leave all personal belongings in a locker outside the testing room.  The testing center will provide you with a scratch pad, a pen or marker, and a basic four function calculator.  You are not permitted to bring anything else into the actual testing room.

If testing remotely, we recommend reviewing FINRA’s informational page here. We also have a helpful blog post about what to expect when testing remotely that you can read here.

That depends on the testing location, but most offer exams every day of the week (including weekends). Remote testing is available any day of the week for SIE, Series 6, Series 7, Series 63, Series 65 and Series 66.  

FINRA is also adopting an interim accommodation request process to allow candidates to take additional FINRA exams online, including the Series 24, Series 57, Series 79 and Series 99 exams.

To avoid cancellation or reschedule fees, you must change your date a minimum of 10 business days in advance. Partial fees may apply if you change closer to your exam date.

To read the full FINRA Cancellation and Reschedule Policy, click on THIS LINK.