Question 1

Can I get a demo of your platform?

Accepted Answer

Yes, you can get a demo of our platform and experience what it's like to train with us. From any product page, click the "Get a Demo" button and complete the form. An account will be created for you and our Demo Course assigned to you via email.

Question 2

CAN I TAKE THE EXAM EVEN THOUGH I AM NOT SPONSORED?

Accepted Answer

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.

Question 3

CAN I TAKE THE CLASS EVEN THOUGH I AM NOT SPONSORED?

Accepted Answer

Yes — our classes are open to non-sponsored candidates. However, for exams that require sponsorship, we recommend waiting until you're sponsored before enrolling, since our classes are built exclusively for exam prep and won't help you toward an exam you can't yet sit for.

Question 4

WHAT DOES TOP-OFF MEAN? I.E. IS THE SERIES 7 TOP-OFF THE SAME AS THE SERIES 7?

Accepted Answer

A Top-Off Exam covers the content that used to be tested in a standalone exam (like the Series 7) minus what's now covered by the SIE. 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, such as the Series 7.

Question 5

ONCE I RECEIVE MY STUDY MATERIALS, WHAT IS THE RECOMMENDED STUDY PROCESS?

Accepted Answer

Follow your course's Action Plan which you'll find in the training center for your exam. The Action Plan is a step-by-step schedule that sequences your reading, video lectures, and practice questions in the order proven to prepare you for your specific exam.

Question 6

CAN I ACCESS THE ONLINE MATERIALS ON A MOBILE DEVICE?

Accepted Answer

Yes! All of our study resources can be accessed through a mobile web browser. As long as you have internet access, you can log into your Training Center on your phone or tablet.

Question 7

ARE THE VIDEO LECTURES JUST A RECORDING OF A LIVE CLASS? SHOULD I WATCH THE VIDEOS AND ATTEND LIVE CLASS?

Accepted Answer

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, although many candidates not only enjoy our live class experience, but they benefit from hearing topics explained in a different way, asking questions of our faculty, and reinforcing the learning from the original video lectures.

Question 8

ARE YOUR CLASSES HELD IN PERSON OR VIRTUALLY?

Accepted Answer

All of our live classes are held remotely. The exception may be a private in-person class. If you are a firm looking for private in-person classes, please reach out to sales@knopman.com

Question 9

CAN I COME BACK TO CLASS IF I DID NOT PASS THE EXAM?

Accepted Answer

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.)

Question 10

WHY ARE THE VIDEO LECTURES SHORTER THAN THE TRADITIONAL FACULTY LEAD CLASSES?

Accepted Answer

The video lectures cover the same material as our faculty-led live classes, but in a more streamlined format. Because they’re pre-recorded, the content is delivered without pauses for breaks, transitions, or live Q&A, making them shorter.

Question 11

HOW LONG DO I HAVE ACCESS TO YOUR MATERIALS?

Accepted Answer

You have access to your materials, content, and support until you pass your exam, or for up to 1 year from enrollment, whichever comes first.

Question 12

DO YOU OFFER PRIVATE ONE-ON-ONE TUTORING?

Accepted Answer

Yes. Private tutoring is available at $500/hour ($750/hour on weekends, holidays, and after business hours) for any candidate who has purchased our materials. Sessions are built around your specific exam and study progress. Contact support@knopman.com as early as possible, cancellations with less than 24 hours' notice are charged in full.Many candidates choose Strategy Advising instead of, or alongside, private tutoring. It pairs you with a dedicated faculty advisor for weekly calls and a custom study calendar. It is included in Diamond packages.

Question 13

DO YOU OFFER PRIVATE CLASSES FOR FIRMS?

Accepted Answer

Yes. We build private classes for individual firms, covering the same exam content as our public classes but scheduled around your team's timeline. Contact sales@knopman.com with your firm's exam requirements and group size.

Question 14

HOW DO I SCHEDULE THE EXAM?

Accepted Answer

1. Work with your firm's compliance department to open your exam window and get your candidate number.2. Schedule your exam at a Prometric Center. Knopman Marks does not handle exam scheduling directly. See our full scheduling guide for detailed steps.3. Once your exam is scheduled, enter your exam date in the Training Center. This will allow the KM system and faculty to send you personalized updates about your progress and study strategy leading up to your exam date.

Question 15

WHERE DO I TAKE THE EXAM?

Accepted Answer

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.

Question 16

CAN I TAKE SECURITIES EXAMS REMOTELY?

Accepted Answer

According to the FINRA website, as of June 9th, 2023, remote testing is only available for the SIE exam. All other exams must be taken at an in-person testing center unless the student has been approved for an interim accommodation. Updates on FINRA’s remote exam policy, interim accommodations, and more information on how to prepare for your remote exam can be found here.

Question 17

WHAT SHOULD I EXPECT ON THE DAY OF MY EXAM?

Accepted Answer

If testing in person, plan on arriving at the testing center at least 30 minutes prior to your scheduled start time. You should bring an active government-issued ID (e.g., driver's license or passport), the last name on your ID must match your registration with your firm. You'll be required to leave all personal belongings in a locker outside the testing room; the testing center provides a scratch pad, a pen or marker, and a basic four-function calculator, and nothing else is permitted in the 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.Test-day nerves are real. Our Study Essentials course, included with every exam prep package, includes our VIBES strategies for managing testing anxiety so exam-day pressure doesn't cost you points you've already earned.

Question 18

HOW OFTEN IS THE EXAM GIVEN?

Accepted Answer

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 the SIE exam.

Question 19

WHAT IF I NEED TO RESCHEDULE MY EXAM?

Accepted Answer

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 HERE.

Question 20

What is included in Platinum and Diamond live classes?

Accepted Answer

Access to live classes is included with our Platinum and Diamond packages, offering live interaction and guidance from a faculty expert. Live class formats include: Instructor-led class: Available for our Series 24 exam prep training, experience live-streamed, faculty-led delivery of the Knopman Marks lectures, covering the most frequently tested and difficult concepts on the exam. Blended class: A scheduled course that blends the on-demand recorded lectures from the Training Center with faculty-led coaching and review sessions. Review session: A one-hour-long, live Q&A where Knopman Marks instructors dive deep into questions on the most difficult concepts, engaging students with interactive polling and real-time participation. The Platinum and Diamond packages also include a spiral-bound workbook to guide you through class and support your studying.

Question 21

WHAT IS THE VIDEO VAULT?

Accepted Answer

The Video Vault is a library of faculty-led videos (25–45 minutes each) that walk through the toughest questions from every unit of your exam, explaining why each answer is correct and where candidates typically go wrong.Video Vaults are included in exams with Platinum packages or can be purchased as an add-on for $49.

Question 22

WHAT IS STRATEGY ADVISING?

Accepted Answer

Strategy Advising pairs you with a dedicated faculty advisor for weekly calls and a custom study calendar built around your exam date. It's designed for candidates who need structured accountability beyond self-paced materials.Strategy Advising is included in Diamond packages. Learn more here.

Question 23

WHY DOES MY COURSE INCLUDE KAPLAN MATERIALS?

Accepted Answer

Our Series 3, Series 9, and Series 10 study courses include a Kaplan textbook and QBank for comprehensive content review and custom-built quizzes. We combine these Kaplan resources with our own Knopman Marks action plan and instructor support, giving you both extensive study materials and personalized guidance to help you succeed on exam day.

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