📘 How Is the Series 7 Exam Scored? The Series 7 exam, also known as the General Securities Representative Exam, is scored based on the number of correct answers you provide. Here’s an overview of how the scoring works: 🔑 Scoring Overview 📊 Scoring Breakdown: The Series 7 exam is divided into different content areas, […]
📝 How Long Are FINRA Licenses Valid?📍 Posted on https://finra-exam-mastery.com Once you pass a FINRA licensing exam—such as the SIE, Series 6, Series 7, Series 63, or Series 65—it’s important to understand how long your license remains valid and what can cause it to expire. Here’s a clear breakdown of FINRA license validity and renewal […]
📘 How FINRA Sanctions Firms and Individuals FINRA (Financial Industry Regulatory Authority) plays a crucial role in regulating the securities industry by ensuring that firms and individuals comply with securities laws and ethical practices. When violations occur, FINRA has the authority to sanction firms and individuals who fail to adhere to its rules and regulations. […]
📘 How FINRA, SEC, and NASAA Differ in Enforcement The FINRA, SEC, and NASAA all play crucial roles in regulating and enforcing rules in the financial industry, but each has a different scope and focus. Understanding how these regulatory bodies differ in their enforcement responsibilities is key to navigating the financial services industry and ensuring […]
⚖️ How I Balanced Work and Series 63 Prep Studying for the Series 63 exam while working full-time is no easy task. Like many professionals, I had to manage a demanding schedule while preparing for a high-stakes exam that covers state securities law, ethics, and fiduciary duty. Here’s exactly how I balanced my job and […]
⏱️ How I Passed Series 6 While Studying 1 Hour a Day Passing the Series 6 Exam doesn’t require marathon study sessions—it requires consistency, strategy, and smart use of your time. I passed the Series 6 while studying just 1 hour a day over the course of 6 weeks. Here’s exactly how I made it […]
✅ How I Passed Series 6 Without a Finance Background Coming from a non-finance background, the idea of passing the Series 6 exam was intimidating. I had no prior experience with investment products, regulations, or even basic market terms. But with a clear strategy, smart tools, and consistent effort, I passed — and you can […]
⏰ How Early Should You Arrive for a FINRA Exam? For all FINRA-administered exams—including the Series 6, 7, 24, 63, 65, and 66—you should plan to arrive at least 30 minutes early to your scheduled exam time. This ensures a smooth check-in process and avoids disqualification due to late arrival. 🛂 Why You Should Arrive […]
🏛️ How FINRA Exams Reflect Real Regulatory Knowledge FINRA exams—like the Series 6, 7, 24, 63, and 65—are more than just licensing hurdles. They’re designed to assess whether candidates truly understand the real-world regulatory frameworks that govern the U.S. securities industry. These exams test practical knowledge, ethical awareness, and the ability to apply rules in […]
How FINRA Oversees Brokerage Firms and AdvisorsPublished on finra-exam-mastery.com 🏛️ What Is FINRA?The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) authorized by Congress to protect investors and maintain market integrity by overseeing broker-dealers and their registered representatives. Though not a government agency, FINRA operates under the supervision of the U.S. Securities and […]