🟨 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 […]
📘 Ultimate Guide to All FINRA Licenses – From Entry to Management A FINRA license opens the door to a wide variety of roles in the financial industry, from entry-level positions to senior management. Whether you’re starting your career or looking to expand your expertise, understanding the different FINRA licenses and their requirements is essential […]
📘 UGMA/UTMA – Custodial Accounts – Series 7 Exam The UGMA (Uniform Gifts to Minors Act) and UTMA (Uniform Transfers to Minors Act) are important concepts covered in the Series 7 exam. These are types of custodial accounts designed to allow minors to receive gifts and transfers of assets, with an adult acting as the […]
📘 U.S. Government and Agency Securities – Series 7 Exam In the Series 7 exam, understanding U.S. Government and Agency Securities is essential, as these are key components of the financial markets and are commonly tested on the exam. Here’s a breakdown of the most important concepts you’ll need to know for the exam regarding […]
🧾 U.S. Government and Agency Securities – Series 7 Exam📘 Understanding U.S. Government and Agency Securities for the Series 7 Exam When preparing for the Series 7 exam, one key area you’ll need to understand is U.S. Government and Agency Securities. These securities are issued by the federal government or government-affiliated organizations and represent a […]
🏗️ Types of DPPs: Real Estate, Oil & Gas, Equipment Leasing – Series 7 Exam Direct Participation Programs (DPPs) are investment vehicles that allow investors to participate directly in the cash flow and tax benefits of a business venture, without active management. On the Series 7 exam, understanding the types of DPPs — particularly real […]
📘 Types of Annuities – Series 7 Exam Understanding annuities is crucial for the Series 7 exam, as they are frequently tested and are an important part of the financial products landscape. Annuities are investment contracts issued by insurance companies that provide a stream of income, typically for retirement. Here’s an overview of the types […]
🧾 Types and Structure of Investment Companies – Series 7 Exam📘 Understanding Investment Companies for the Series 7 Exam As part of the Series 7 exam, you’ll need to understand the different types of investment companies and how they are structured. Investment companies pool money from investors to invest in a diversified portfolio of securities. […]
📘 Trust Indenture – Series 7 Exam A trust indenture is a critical concept you’ll encounter in the Series 7 exam, particularly in the context of bond issues. Understanding what a trust indenture is and its role in bond offerings is key for the exam. Here’s a detailed explanation of the trust indenture, what it […]