📚 Using Spaced Repetition for FINRA Exam Prep Spaced repetition is a highly effective study technique based on cognitive science that helps you retain information more effectively over time. It involves reviewing material at increasing intervals to strengthen your long-term memory. This method is particularly useful for FINRA exam preparation—whether you’re studying for the Series […]
🟦 Updated Series 63 Pass Rate Statistics (2025) As of 2025, the Series 63 exam, or the Uniform Securities Agent State Law Examination, is an important step for professionals seeking to register as securities agents in U.S. states. While exact pass rate statistics are not publicly available, the pass rate for the Series 63 exam […]
📘 Updated Rulebook Now Required for Series 24 Prep The Series 24 exam, also known as the General Securities Principal Qualification Examination, has undergone significant updates to better align with industry practices and regulations. These revisions reflect changes in the responsibilities of General Securities Principals. 🔄 Key Updates to the Series 24 Exam 📚 Study […]
🧾 Underwriting Process and Syndicate – Series 7 Exam📘 Understanding the Basics of Underwriting and Syndicates in Securities Offerings The underwriting process and syndicates are critical topics on the Series 7 exam, which assesses your ability to engage in securities sales and trading. To succeed on the exam, it’s essential to understand how securities are […]
📘 Underwriting Commitments – Series 7 Exam In the Series 7 exam, the topic of underwriting commitments is essential to understand, especially if you are working in roles related to investment banking or securities trading. Underwriting refers to the process by which investment banks (also known as underwriters) agree to sell securities to the public […]
🏛️ Understanding Self-Regulatory Organizations (SROs) In the world of U.S. securities regulation, Self-Regulatory Organizations (SROs) play a vital role in maintaining market integrity, enforcing compliance, and protecting investors. Though they are not government agencies, SROs operate under the supervision of the Securities and Exchange Commission (SEC) and have the authority to create and enforce industry […]
Understanding SEC Filings: 10-K, 10-Q, and More📘 FINRA Exam Mastery – Decode Financial Filings Like a Pro🌐 https://finra-exam-mastery.com/ 📂 What Are SEC Filings?SEC filings are documents that public companies are legally required to submit to the U.S. Securities and Exchange Commission (SEC). These filings provide transparency, protect investors, and give detailed insight into a company’s […]
🏛️ Understanding NASAA and State-Level RegulationHow State Authorities Shape the Securities Industry If you’re preparing for the Series 63, 65, or 66 exams, understanding NASAA and the role of state-level regulation is essential. While federal agencies like the SEC govern national markets, state securities regulators—and the organization that supports them—are crucial players in investor protection […]
🟨 Understanding FINRA’s Continuing Education RequirementsStaying licensed means staying current. Passing your FINRA exam is only the beginning. To maintain your registration and remain in good standing, you must complete Continuing Education (CE). This ensures that registered representatives and supervisors remain up to date on regulatory changes, products, and best practices. Here’s a clear breakdown […]
📝 Understanding FINRA Exam Retake Rules📍 Posted on https://finra-exam-mastery.com Whether you’re taking the SIE, Series 6, Series 7, Series 63, Series 65, or any other FINRA qualification exam, it’s important to understand the retake rules in case things don’t go as planned on your first attempt. Here’s what you need to know. ⏳ Retake Waiting […]