What is a Security? – Series 7 Exam
🛡️ What is a Security? – Series 7 Exam When preparing for the Series 7 Exam, one of the first concepts you need to understand is the definition of a security. This is more than just a vocabulary word—it is a foundational concept that shapes much of the exam content. In this guide, we’ll explore […]
📚 Why FINRA Requires Continuing Education The financial industry is fast-moving, complex, and constantly evolving. To maintain high standards of professionalism and protect investors, FINRA (Financial Industry Regulatory Authority) requires all registered representatives and principals to participate in Continuing Education (CE). But why is this ongoing training so critical—and what does it actually involve? 🔄 […]
🏛️ Who Reports to the SEC? Regulatory Hierarchy Explained In the U.S. financial system, the Securities and Exchange Commission (SEC) plays a central role in maintaining fair and efficient markets. But who exactly reports to the SEC, and how does the regulatory hierarchy work? Let’s break it down step by step. 📌 What Is the […]
🟦 Who Needs the Series 7 License? The Series 7 license, formally known as the General Securities Representative Qualification Examination, is one of the most sought-after licenses in the financial services industry. It’s essential for professionals who wish to trade a broad range of securities and provide investment advice to clients in the United States. […]
Who Needs the Series 65 License?🧠 Understanding the Role of the Series 65The Series 65 license—also known as the Uniform Investment Adviser Law Examination—is required for professionals who want to act as investment adviser representatives (IARs). Unlike other securities licenses, Series 65 is not tied to selling securities but rather to offering investment advice for […]
📝 Who Needs the Series 63 License and Why? The Series 63 license, officially known as the Uniform Securities Agent State Law Examination, is a mandatory credential for securities professionals who want to sell securities within a U.S. state. While other FINRA exams like Series 7 or Series 6 test your knowledge of financial products, […]
🧾 Who Needs the Series 6 License?💼 A Must-Have for Financial Professionals Selling Investment Company Products The Series 6 license, also known as the Investment Company and Variable Contracts Products Representative Exam, is a FINRA-administered license designed for individuals who want to sell specific investment products. It’s often the first licensing step for professionals entering […]
🟦 Who Needs the Series 24 License and Why? The Series 24 license, officially known as the General Securities Principal Qualification Examination, is a crucial credential for professionals who wish to supervise or manage other registered representatives in the securities industry. It’s not just a license—it’s a gateway to leadership in the world of brokerage […]
🎓 Who Can Take the SIE Exam? The Securities Industry Essentials (SIE) Exam is your first step into the world of finance and securities. Unlike other FINRA exams, the SIE is designed for newcomers—and the eligibility is open to almost everyone. Here’s what you need to know: ✅ No Sponsorship Required You do not need […]
🎯 Which Series 6 Course Has the Best Pass Rates? Passing the Series 6 exam requires smart preparation—and the right course can make all the difference. While exact pass rates aren’t always publicly disclosed, several top-rated providers stand out for their proven results and student satisfaction. 🏆 Top Series 6 Prep Courses in 2025 📘 […]