📘 How the SEC and FINRA Work Together The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) are both integral to the regulation and oversight of the financial markets in the United States. While each organization has its own distinct role, they work closely together to ensure that the securities industry is […]
How State Securities Laws Are Enforced by NASAA📘 FINRA Exam Mastery – Understand the Role of State Regulators🌐 https://finra-exam-mastery.com/ ⚖️ NASAA and State Enforcement of Securities LawsThe North American Securities Administrators Association (NASAA) represents state securities regulators in the U.S., Canada, and Mexico. In the U.S., state securities laws (also known as Blue Sky Laws) […]
📘 How SEC Regulations Affect Financial Advisors The Securities and Exchange Commission (SEC) plays a crucial role in overseeing the U.S. securities markets and ensuring the protection of investors. Financial advisors must adhere to SEC regulations to ensure they operate within the legal framework designed to promote fairness, transparency, and accountability in financial markets. Here’s […]
🛡️ How the SEC Protects Investors from Fraud The U.S. Securities and Exchange Commission (SEC) is the nation’s top financial regulator, with a core mission to protect investors, maintain fair and efficient markets, and facilitate capital formation. One of its most important responsibilities is preventing and prosecuting fraud in the securities markets. Here’s how the […]
📊 How Retake Rates Affect Series 7 Exam Statistics The Series 7 exam is one of FINRA’s most comprehensive and challenging licensing exams — and not everyone passes on the first try. In fact, retake rates significantly impact the overall pass rate statistics. Understanding how retakes shape these figures can help you put the numbers […]
🔁 How Often Can You Retake the SIE Exam? The Securities Industry Essentials® (SIE®) Exam is designed to test your foundational knowledge of the securities industry — and if you don’t pass on your first try, you’re allowed to retake it. However, FINRA enforces mandatory waiting periods between attempts to ensure adequate preparation. Here’s how […]
How Often Can You Retake the Series 63 Exam?Published on https://finra-exam-mastery.com 🔁 Retaking the Series 63: What You Need to Know If you don’t pass the Series 63 exam on your first try, you’re not alone—and you’re allowed to retake it. However, FINRA enforces mandatory waiting periods between attempts. 📅 Series 63 Retake Policy These […]
🔁 How Often Can You Retake the Series 6 Exam? If you don’t pass the Series 6 exam on your first attempt, you’re not alone — and you can retake the exam. However, FINRA has strict retake rules in place to ensure candidates have time to improve before trying again. Here’s exactly what you need […]
🔁 How Often Can You Retake the Series 24 Exam? The Series 24 exam—General Securities Principal Qualification—can be retaken if you don’t pass on your first attempt. However, FINRA imposes mandatory waiting periods between retakes and limits the number of attempts within a given time frame to ensure that candidates are taking the exam seriously […]
🛡️ How NASAA Supports Investor Protection The North American Securities Administrators Association (NASAA) plays a critical role in safeguarding investors—especially retail clients—through regulation, enforcement, education, and policy advocacy. As a leading authority for state securities regulators, NASAA’s efforts focus on ensuring fair markets and holding bad actors accountable. 🏛️ What Is NASAA? Founded in 1919, […]