⚖️ SEC Enforcement Actions: What You Need to Know The U.S. Securities and Exchange Commission (SEC) plays a central role in maintaining fair, orderly, and efficient markets. One of its most powerful tools is enforcement action—used to investigate, punish, and deter violations of federal securities laws. If you’re entering the financial industry or managing regulatory […]
🛡️ SEC and FINRA Registration – Series 7 Exam The Series 7 exam, officially the General Securities Representative Qualification Exam, is a cornerstone for professionals looking to sell a broad range of securities products in the U.S. financial markets. To legally operate as a registered representative, candidates must meet specific registration requirements with both FINRA […]
🧾 Rights and Warrants – Series 7 Exam📘 Understanding Rights and Warrants for the Series 7 Licensing Test When preparing for the Series 7 exam, you must understand rights and warrants—two types of securities that offer investors opportunities to buy stock under specific conditions. Although they seem similar, they have distinct features, purposes, and testable […]
🧾 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 […]