🧾 Pledging Customer Securities – Series 7 Exam📘 Understanding How Customer Securities Are Handled and Secured One of the key regulatory concepts covered on the Series 7 exam is the pledging of customer securities. This involves the rules that broker-dealers must follow when using client-owned securities to secure loans or meet their own financial obligations. […]
📈 Phases of Underwriting – Series 7 Exam Understanding the phases of underwriting is crucial for passing the Series 7 Exam. The underwriting process governs how new securities are issued and sold to the public. The Series 7 tests your ability to recognize the steps, timing, and key regulatory rules that apply. Here’s a complete […]
🧾 Pass Rates for Series 65 by Study Method📘 How Different Study Strategies Affect Series 65 Exam Success The Series 65 exam is essential for anyone seeking to become a licensed Investment Adviser Representative (IAR). Passing requires more than memorization—it demands strategic studying. While FINRA and NASAA don’t officially publish detailed pass rate statistics, based […]
🧾 Pass Rate Improvement Tips for the SIE Exam📘 How to Boost Your Chances of Passing the Securities Industry Essentials Exam The Securities Industry Essentials (SIE) Exam is the gateway to entering the financial services industry. While the overall pass rate for the SIE hovers around 74%–80%, candidates who adopt a smart strategy can significantly […]
​The Series 6 exam, officially known as the Investment Company and Variable Contracts Products Representative Qualification Examination, is administered by the Financial Industry Regulatory Authority (FINRA). This exam assesses the competency of entry-level representatives to perform their job as investment company and variable contracts products representatives.​blog.examfx.com+5Investopedia+5FINRA+5FINRA 📊 Series 6 Exam Pass Rate While FINRA does […]
🧾 Pass Rate Comparison: Series 63 vs Series 66📘 Which Exam Is Easier – and Why It Matters for Your Career Both the Series 63 and Series 66 exams are state law exams administered by NASAA (North American Securities Administrators Association) and required for many financial professionals. But they differ in length, content, difficulty, and […]
📊 Pass Rate Breakdown: Series 7 Top-Off vs Legacy The Series 7 exam has long been considered the gateway to a career in securities sales, trading, and advisory. However, the structure of the exam changed significantly in October 2018, shifting from the traditional Legacy Series 7 format to the current Series 7 Top-Off format. Understanding […]
🧾 Overview of the Investment Advisers Act of 1940📘 Essential Knowledge for the Series 65 Exam and Beyond The Investment Advisers Act of 1940 is the foundational law regulating investment advisers at the federal level. Understanding the Act is critical for anyone preparing for the Series 65 exam — and for anyone planning to work […]
🧾 Overcoming Test Anxiety and Passing Series 63📘 Practical Strategies to Stay Calm and Crush the Exam The Series 63 exam—focused on state securities laws and the Uniform Securities Act—is shorter than many other licensing tests, but that doesn’t mean it’s stress-free. Test anxiety can derail even well-prepared candidates if you don’t have a plan […]
🧾 Other Debt Securities (e.g., ELNs) – Series 7 Exam📘 Understanding Exotic and Structured Debt Products for the Series 7 Besides traditional bonds like corporate bonds, municipal bonds, and Treasuries, the Series 7 exam expects you to recognize alternative debt securities, including Equity-Linked Notes (ELNs) and other structured products. These can be trickier because they […]