🧾 Rights and Warrants – Series 7 Exam Quick Guide📘 Understanding Shareholder Rights and Warrants for Test Success Rights and warrants are important equity-related instruments that show up frequently on the Series 7 exam. Both relate to opportunities for investors to purchase stock, but they function differently. Here’s a simple and clear breakdown to help […]
🧾 Return on Investment – Series 7 Exam Focus📘 Understanding ROI Calculations and Concepts for Securities Licensing Success The Return on Investment (ROI) is a fundamental financial concept tested on the Series 7 exam. You need to know how to calculate it, when to apply it, and what it indicates about an investment’s performance. Here’s […]
🧾 Retaking the SIE Exam – Real Student Reflections📘 Lessons Learned and Strategies That Work the Second Time Failing the SIE (Securities Industry Essentials) Exam can feel discouraging, but it’s much more common than most people realize. Many students find the first attempt to be a valuable learning experience, and use it to come back […]
🧾 Retaking a FINRA Exam: Rules and Strategies📘 What You Need to Know if You Don’t Pass the First Time Failing a FINRA exam like the Series 65, Series 7, or Series 66 can be frustrating, but it’s not the end of the road. Many successful financial professionals have had to retake an exam. Understanding […]
🔄 Repetition vs Variety: Which Works Better for Retention? When preparing for high-stakes exams like the Series 6, Series 63, or Series 24, retention is everything. Yet many candidates wonder: Should I repeat the same material over and over, or constantly introduce variety into my study sessions? The answer isn’t one-size-fits-all. True retention comes from […]
🧾 Remote Testing Guidelines Refined for Series 65📘 Everything You Must Know Before Taking the Series 65 Exam Online If you’re planning to take the Series 65 exam remotely, you’ll need to meet specific technical and procedural requirements to ensure a smooth and compliant testing experience. Remote testing can be incredibly convenient, but only if […]
As of April 1, 2022, the Series 63 exam is no longer available for remote testing by default. According to the North American Securities Administrators Association (NASAA), the Series 63, 65, and 66 exams can now only be taken online if a candidate qualifies for a testing accommodation, such as a documented medical condition that […]
🏛️ Regulatory Bodies Covered on the SIE Exam The Securities Industry Essentials (SIE) Exam is your first step into the world of securities and financial services. One of the major areas tested is your knowledge of the regulatory bodies that govern the industry. Understanding who these regulators are, what they oversee, and why they matter […]
🧾 Regulation of Trading – Series 7 Exam📘 Essential Rules You Must Know for the Series 7 Trading Section The Series 7 exam covers a significant amount of material related to the regulation of trading, focusing on the rules that govern how securities are bought and sold in the U.S. markets. A clear understanding of […]
🆕 Regulation of New Issues – Series 7 Exam Understanding the regulation of new issues is critical for anyone preparing for the Series 7 exam. New issues — such as initial public offerings (IPOs) and secondary offerings — are tightly regulated to ensure transparency, prevent fraud, and protect investors. This topic appears frequently on the […]