Length of Access to Resources

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, whichever comes first.

Bundle Discounts

We offer a bundle discount to customers who purchase the SIE at the same time that they also purchase one or more specific co-requisite exams. Requests to apply a bundle discount to purchases made individually in different time periods will not be granted. 

Extension Policy

• One month ($20)
• Five months ($50)

Once a candidate has used two extensions or has elected not to extend prior to their course expiring, if they later wish to re-enroll, they can re-purchase the course package to do so.

Knopman Marks Return Policy

Requests for refunds, excluding any shipping, handling or other additional charges, will be honored within 30 days of order delivery. Materials must be in original condition and unopened to process a return. Prior to returning materials, you must contact our office to receive a return authorization. Materials must be postmarked within 7 days of receiving a return authorization. Returns are subject to a $20 restocking/administrative fee.

Licensed Materials

Textbooks for the Series 3, Series 9, Series 10, Series 65, and Series 66 exams and practice exams are licensed through Kaplan.

License Exam Manual Replacement Policy

Replacement License Exam Manuals (“LEM”) are available at a discount to current students within one year of their initial purchase in the event a LEM is lost, damaged, or out-of-date. Please contact our office for more details.

All Access Pass Refund Policy

Persons who add “All Access Pass” to their package, but do not attend class, are not entitled to a refund for the All Access Pass Add-On.  They may, however, attend any other scheduled class for that Series within 1 year of their enrollment. They may also attend more than one class for that Series within the 1-year period without additional charge.

Private Tutoring Cancellation Policy

Persons who wish to cancel Private Tutoring must cancel at least 24 hours prior to their appointment to avoid a cancellation penalty.  If not cancelled within 24 hours, a charge for 100% of the reserved tutoring time will be applied.

How to Finance Course

How to Finance: A Beginner’s Guide to the Industry (the “Course”) is for educational and informational purposes only, is not designed or intended to qualify participants for employment, and is not investment advice or a recommendation to buy or sell any asset. Buying, selling, and trading stocks, bonds, and other investment vehicles involves risks. You are solely responsible for determining whether any investment is suitable for you and for evaluating the associated merits and risks, and should consult a qualified, licensed advisor before engaging in any transaction.  Any claim regarding Course passage rates by Knopman Marks or another third party is no guarantee of future results. Completing the Course does not guarantee passage of any exam.  Knopman Marks is not a licensed securities dealer, broker or U.S. investment adviser or investment bank, and neither the Course nor any content provided by Knopman Marks has been accredited by any public or private accreditation association.