🧾 Series 24 and Continuing Education Requirements📘 Staying Compliant After Passing the General Securities Principal Exam The Series 24 exam qualifies individuals to supervise or manage branch activities of broker-dealers. But earning the credential is only the beginning. To maintain your Series 24 registration, you must comply with FINRA’s continuing education (CE) requirements. Here’s what […]
🧾 Series 24 – What Happens If You Run Out of Time?📘 Time Management and Consequences for the FINRA General Securities Principal Exam The Series 24 exam is a high-level FINRA qualification for professionals seeking to supervise or manage branch activities, including compliance, trading, and sales practices. It’s comprehensive, detailed—and timed. Here’s what you need […]
🧾 Series 24 – What Happens If You Run Out of Time?📘 Understanding the Consequences and Strategies for Managing Time on the Series 24 Exam The Series 24 exam (General Securities Principal Exam) is designed to test a candidate’s knowledge of supervisory responsibilities in the securities industry. With 150 questions and a 3 hour and […]
🧾 Series 24 – Preparing for a Stronger Second Try📘 What to Change After Failing the General Securities Principal Exam Failing the Series 24 exam is tough—but it’s also fixable. The General Securities Principal Exam is one of FINRA’s most challenging, and a second attempt demands a smarter, more focused study plan. Here’s how to […]
🧾 Series 24 – How to End the Exam Confidently📘 Last-Hour Tactics to Finish Strong and Maximize Your Score The Series 24 exam is challenging—not just because of the content, but also because of its duration, complex rules, and the mental fatigue it causes. Many candidates make their biggest mistakes in the final 30 questions. […]
🔁 Series 24 – Analyzing Your First Attempt Didn’t pass the Series 24 Exam on your first try? You’re not alone. Many qualified candidates are surprised by the exam’s depth and nuance. But here’s the good news: your first attempt is a roadmap to success—if you know how to analyze it. This guide will help […]
📚 Self-Paced vs Instructor-Led Series 6 Courses – Which Is Right for You? Choosing the right study format for the Series 6 exam—the Investment Company and Variable Contracts Products Representative Exam—can significantly impact your success. Two main paths dominate the landscape: self-paced courses and instructor-led training. Each has unique strengths depending on your learning style, […]
Securities Acts of 1933, 1934, 1940, etc. – Series 7 ExamPublished on finra-exam-mastery.com 📜 Overview of Key Securities Acts Tested on the Series 7 ExamThe Series 7 exam places strong emphasis on major federal securities laws that shape how the financial industry operates. These laws establish rules for registration, disclosure, antifraud provisions, and regulatory oversight. […]
⚖️ SEC vs NASAA: Jurisdiction and Focus Explained When preparing for FINRA exams like Series 63, 65, or 66, it’s essential to understand the difference between the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA). Both play vital roles in U.S. securities regulation — but their jurisdictions, responsibilities, and exam […]
⚖️ SEC Rulemaking Process: How It Works From Concept to Regulation – A Step-by-Step Breakdown The U.S. Securities and Exchange Commission (SEC) plays a key role in maintaining fair and efficient markets through rulemaking. Whether you’re preparing for the Series 24, Series 65, or a compliance role, understanding how the SEC creates and enforces rules […]