🟦 What Are FINRA Exams? A Beginner’s OverviewYour first step toward a career in financial services starts here. If you’re thinking about a job in the financial industry—especially in securities, trading, or advising—then you’ll likely need to pass one or more FINRA exams. But what exactly are they, and why do they matter? Let’s break […]
📈 What Can You Do with a Series 6 License?Unlock Your Career in Investment Sales and Insurance Products The Series 6 license, officially known as the Investment Company and Variable Contracts Products Representative Qualification, is your ticket into the world of securities sales—specifically in the investment and insurance industries. Here’s exactly what it qualifies you […]
📘 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 […]
🧾 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 […]
📘 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 […]
🟦 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 […]
📚 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 […]
🏛️ 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 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 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 […]