🏛️ 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 […]
🌐 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 […]