🌐 Regional and Other Exchanges – Series 7 Exam Understanding Trading Venues Beyond the NYSE The Series 7 exam requires a solid understanding of where securities are traded, not just how they are traded. While the New York Stock Exchange (NYSE) is the most recognized, many securities also trade on regional and other specialized exchanges. […]
📚 Recommended Study Guides for the Series 6 Exam Choosing the right study guide is critical when preparing for the Series 6 – Investment Company and Variable Contracts Products Representative Exam. With the right materials, you can focus on the topics that matter most, build strong exam techniques, and maximize your chances of passing on […]
Recommended Reading for the Series 24 ExamPublished on finra-exam-mastery.com 📚 Study Smarter with the Right MaterialsThe Series 24 exam demands more than surface-level memorization—it requires a deep understanding of supervisory procedures, FINRA rules, and operational responsibilities. Choosing the right reading resources is critical to building the knowledge and confidence you need to pass. Here’s a […]
🏛️ Recent SEC and FINRA Joint Actions Explained In 2024, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) intensified their collaborative efforts to address significant compliance failures within the securities industry. These joint actions underscore a shared commitment to upholding market integrity and investor protection. 📱 Crackdown on Off-Channel Communications […]
🧾 Real Estate Investment Trusts (REITs) – Series 7 Exam📘 Key Concepts and Exam Essentials About REITs for the Series 7 Real Estate Investment Trusts (REITs) are a frequent topic on the Series 7 exam, especially in sections covering investment company products and alternative investments. Understanding what REITs are, how they work, and their regulatory […]
🧾 Real Estate Investment Trusts (REITs) – Series 7 Exam📘 Key Concepts, Rules, and Practice Points for REITs on the Series 7 Real Estate Investment Trusts (REITs) are a tested topic on the Series 7 exam, falling under investment company products and packaged securities. To score well, you need to know how REITs work, how […]
🧾 Quotations and 5% Markup Policy – Series 7 Exam📘 Understanding Pricing Rules and Fair Dealing for Securities Transactions On the Series 7 exam, mastering the concepts of quotations and the 5% markup policy is essential. These rules govern how broker-dealers price securities and ensure fairness when executing trades for customers. Here’s a clear and […]
🛒 Purchasing and Distribution Phases – Series 7 Exam Understanding the purchasing and distribution phases of securities is essential for Series 7 candidates. These phases describe how new securities are brought to market, sold to investors, and regulated under U.S. securities law. Mastering these concepts is critical for passing questions related to primary and secondary […]
🧾 Printable PDF Practice Test for FINRA Exams📘 Simulate the Real Exam Environment with a Downloadable Test If you’re preparing for FINRA exams like the Series 65, Series 66, or Series 7, practicing with a printable PDF practice test can be one of the best ways to simulate the real testing environment. Here’s a ready-to-print […]
🧾 Preferred Stock – Series 7 Exam📘 Key Features, Types, and Important Concepts for the Series 7 Exam Preferred stock is an important topic on the Series 7 exam, appearing frequently in questions about equity securities, income strategies, and corporate structure. Here’s a full breakdown to help you master preferred stock concepts for the test. […]