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Series 10
Series 10 – Module 1: Introduction to Supervision of General Securities
Series 10 – Module 10: Registration, Continuing Education, and Licensing Supervision
Series 10 – Module 11: Supervising New Account Openings and Disclosures
Series 10 – Module 12: Final Review and Practice Exam
Series 10 – Module 2: Supervision of Customer Accounts
Series 10 – Module 3: Sales Practices and Suitability Supervision
Series 10 – Module 4: Communications with the Public – Supervision Rules
Series 10 – Module 5: Supervision of Trading Activities and Market Manipulation
Series 10 – Module 6: Handling Complaints, Disputes, and Investigations
Series 10 – Module 7: Margin and Credit Regulations Supervision
Series 10 – Module 8: Anti-Money Laundering (AML) and Financial Crimes Supervision
Series 10 – Module 9: Recordkeeping and Reporting Requirements
Series 14
Series 14 – Module 1: Introduction to Compliance and Supervision
Series 14 – Module 10: Handling Customer Complaints and Disciplinary Reporting
Series 14 – Module 11: Financial Responsibility, Net Capital Rules, and Recordkeeping
Series 14 – Module 12: Final Review and Practice Exam
Series 14 – Module 2: Broker-Dealer Structure and Regulatory Framework
Series 14 – Module 3: Registration, Continuing Education, and Licensing Requirements
Series 14 – Module 4: Supervision of Customer Accounts and New Account Procedures
Series 14 – Module 5: Communications with the Public – Advertising and Social Media Rules
Series 14 – Module 6: Trading Practices and Prohibited Activities
Series 14 – Module 7: Anti-Money Laundering (AML) and Customer Identification Programs (CIP)
Series 14 – Module 8: Insider Trading, Information Barriers, and Ethical Practices
Series 14 – Module 9: Supervision of Employee Activities and Outside Business Activities
Series 16
Series 16 – Module 1: Introduction to Supervisory Analysis
Series 16 – Module 10: Recordkeeping Requirements and Research Documentation
Series 16 – Module 11: Ethical Responsibilities and Best Practices
Series 16 – Module 12: Final Review and Practice Exam
Series 16 – Module 2: Research Report Preparation and Approval Process
Series 16 – Module 3: Disclosure Requirements in Research Reports
Series 16 – Module 4: Conflict of Interest Rules and Restrictions
Series 16 – Module 5: Analyst Independence and Integrity Standards
Series 16 – Module 6: Review of Financial Models and Valuation Methods
Series 16 – Module 7: Legal and Regulatory Framework – SEC and FINRA Rules
Series 16 – Module 8: Supervision of Communications and Publications
Series 16 – Module 9: Handling Material Nonpublic Information (MNPI)
Series 22
Series 22 – Module 1: Introduction to Direct Participation Programs (DPPs)
Series 22 – Module 10: Anti-Fraud Rules and Conflicts of Interest
Series 22 – Module 11: Recordkeeping and Reporting Requirements
Series 22 – Module 12: Final Review and Practice Exam
Series 22 – Module 2: Types of DPPs – Real Estate, Oil and Gas, Equipment Leasing
Series 22 – Module 3: Structure and Organization of DPPs
Series 22 – Module 4: Tax Considerations and Benefits of DPPs
Series 22 – Module 5: Suitability and Risks Associated with DPP Investments
Series 22 – Module 6: Regulatory Framework Governing DPPs (SEC, FINRA, IRS)
Series 22 – Module 7: Offering Documents – Prospectus, Subscription Agreements, and Disclosures
Series 22 – Module 8: Valuation, Performance, and Exit Strategies for DPPs
Series 22 – Module 9: Handling Customer Accounts and DPP Sales Supervision
Series 24
Series 24 – Module 1: Introduction to General Securities Supervision
Series 24 – Module 10: Conflicts of Interest, Insider Trading, and Information Barriers
Series 24 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and SRO Rules
Series 24 – Module 12: Final Review and Practice Exam
Series 24 – Module 2: Registration of Broker-Dealers and Associated Persons
Series 24 – Module 3: Supervising Customer Accounts and Orders
Series 24 – Module 4: Communications with the Public – Advertising and Retail Communications
Series 24 – Module 5: Supervision of Trading and Market-Making Activities
Series 24 – Module 6: Underwriting and New Issues – Primary and Secondary Markets
Series 24 – Module 7: Handling Customer Complaints, Disputes, and Reporting Requirements
Series 24 – Module 8: Financial Responsibility Rules – Net Capital, Recordkeeping, and Reporting
Series 24 – Module 9: Anti-Money Laundering Programs and Ethics Requirements
Series 26
Series 26 – Module 1: Introduction to Principal Supervision
Series 26 – Module 10: Handling Complaints, Reporting, and Escalations
Series 26 – Module 11: Understanding Compensation, Conflicts of Interest, and Sales Incentives
Series 26 – Module 12: Final Review and Practice Exam
Series 26 – Module 2: Overview of Investment Companies and Variable Contracts
Series 26 – Module 3: Registration and Licensing Requirements for Representatives
Series 26 – Module 4: Supervising Sales of Mutual Funds, Variable Annuities, and Variable Life
Series 26 – Module 5: Supervising Communications with the Public
Series 26 – Module 6: Handling Customer Accounts and Client Interactions
Series 26 – Module 7: Ethics, Fair Dealing, and Customer Protection Rules
Series 26 – Module 8: Regulatory Requirements – FINRA, SEC, and State Regulations
Series 26 – Module 9: Anti-Money Laundering (AML) and Privacy Rules (Regulation SP)
Series 27
Series 27 – Module 1: Introduction to Financial and Operations Supervision
Series 27 – Module 10: Ethics, Fraud Prevention, and Financial Integrity
Series 27 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and Other Rules
Series 27 – Module 12: Final Review and Practice Exam
Series 27 – Module 2: Broker-Dealer Financial Responsibilities and Net Capital Rules
Series 27 – Module 3: Customer Protection Rule (SEC Rule 15c3-3)
Series 27 – Module 4: Books, Records, and Reporting Requirements
Series 27 – Module 5: Regulatory Reporting – FOCUS Reports, Annual Audits, and More
Series 27 – Module 6: Supervision of Financial Controls and Internal Audits
Series 27 – Module 7: Anti-Money Laundering (AML) Requirements for Financial Operations
Series 27 – Module 8: Handling Margin Accounts and Financing Activities
Series 27 – Module 9: Risk Management and Business Continuity Planning (BCP)
Series 28
Series 28 – Module 1: Introduction to Financial and Operations Responsibilities
Series 28 – Module 10: Ethics, Fraud Prevention, and Professional Conduct
Series 28 – Module 11: SEC, FINRA, and MSRB Regulatory Framework
Series 28 – Module 12: Final Review and Practice Exam
Series 28 – Module 2: Net Capital Requirements for Introducing Broker-Dealers
Series 28 – Module 3: Customer Protection Rule Overview (SEC Rule 15c3-3)
Series 28 – Module 4: Books, Records, and Regulatory Reporting Basics
Series 28 – Module 5: FOCUS Reports and Financial Statement Requirements
Series 28 – Module 6: Anti-Money Laundering (AML) Obligations for Operations Principals
Series 28 – Module 7: Managing Margin Accounts and Related Financial Controls
Series 28 – Module 8: Business Continuity Planning (BCP) Essentials
Series 28 – Module 9: Handling Customer Funds and Securities Safeguards
Series 3
Series 3 – Module 1: Introduction to Futures and Commodities Markets
Series 3 – Module 10: Regulatory Environment – CFTC, NFA, and Compliance
Series 3 – Module 11: Ethics, Anti-Fraud Rules, and Reporting Requirements
Series 3 – Module 12: Final Review and Practice Exam
Series 3 – Module 2: Understanding Futures Contracts
Series 3 – Module 3: Hedging with Futures Contracts
Series 3 – Module 4: Speculating with Futures Contracts
Series 3 – Module 5: Options on Futures – Basics
Series 3 – Module 6: Options Strategies in Futures Markets
Series 3 – Module 7: Margin Requirements and Calculations
Series 3 – Module 8: Market Orders, Limit Orders, and Stop Orders
Series 3 – Module 9: Fundamental and Technical Analysis for Futures
Series 6
Series 6 – Step 1: Introduction to Investment Companies
Series 6 – Step 10: Overview of Regulatory Bodies and Laws
Series 6 – Step 11: Customer Transactions and Privacy Rules
Series 6 – Step 12: Final Review and Practice Exam
Series 6 – Step 2: Understanding Mutual Funds and UITs
Series 6 – Step 3: Variable Life Insurance and Annuities
Series 6 – Step 4: Securities Products and Market Basics
Series 6 – Step 5: Retirement Plans and Education Accounts
Series 6 – Step 6: Client Accounts and Ownership Types
Series 6 – Step 7: Ethical Sales Practices and Conduct Rules
Series 6 – Step 8: Public Communications and Advertising Rules
Series 6 – Step 9: Suitability, Recommendations, and Client Needs
Series 7 Exam
Function 1
Function 2
Function 3
Function 4
Module 1: Equity Securities
Module 10: Investment Products
Module 11: Retirement Plans
Module 12: Variable Annuities
Module 13: Direct Participation Programs
Module 14: Economics and Analysis
Module 15: Ethics, Recommendations, and Taxation
Module 16: US Government and State Rules and Regulations
Module 17: Other SEC and SRO Rules and Regulations
Module 2: Debt Securities
Module 3: Municipal Securities
Module 4: Options
Module 5: Customer Accounts
Module 6: Margin Accounts
Module 7: Issuing Securities
Module 8: Trading Securities
Module 9: Brokerage Services
Series 9
Series 9 – Module 1: Introduction to Options Supervision
Series 9 – Module 10: Ethics, Reporting Violations, and Best Practices
Series 9 – Module 11: Advanced Options Scenarios and Supervision
Series 9 – Module 12: Final Review and Practice Exam
Series 9 – Module 2: Customer Accounts and Options Account Approvals
Series 9 – Module 3: Options Trading Strategies Overview
Series 9 – Module 4: Supervision of Options Communications
Series 9 – Module 5: Margin Requirements for Options Accounts
Series 9 – Module 6: Handling Options Complaints and Disputes
Series 9 – Module 7: Supervision of Options Orders and Execution
Series 9 – Module 8: Option Position Limits and Exercise Limits
Series 9 – Module 9: Regulatory Framework – CBOE, FINRA, SEC Rules
SIE
SIE – Step 1: Introduction to the Securities Industry
SIE – Step 10: Prohibited Activities and Penalties
SIE – Step 11: Review of Key Laws – Securities Act of 1933, 1934, 1940, and Others
SIE – Step 12: Final Comprehensive Review and Practice Exam
SIE – Step 2: Understanding Types of Products and Investments
SIE – Step 3: Markets, Offerings, and Trading Basics
SIE – Step 4: Economic Factors and Financial Concepts
SIE – Step 5: Customer Accounts and Basic Client Interactions
SIE – Step 6: Overview of Regulatory Framework – SEC, FINRA, MSRB, and Others
SIE – Step 7: Business Conduct Rules and Ethical Responsibilities
SIE – Step 8: Anti-Money Laundering, Privacy, and Information Security
SIE – Step 9: Understanding Risks, Returns, and Investment Suitability
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Category
Series 10
Series 10 – Module 1: Introduction to Supervision of General Securities
Series 10 – Module 10: Registration, Continuing Education, and Licensing Supervision
Series 10 – Module 11: Supervising New Account Openings and Disclosures
Series 10 – Module 12: Final Review and Practice Exam
Series 10 – Module 2: Supervision of Customer Accounts
Series 10 – Module 3: Sales Practices and Suitability Supervision
Series 10 – Module 4: Communications with the Public – Supervision Rules
Series 10 – Module 5: Supervision of Trading Activities and Market Manipulation
Series 10 – Module 6: Handling Complaints, Disputes, and Investigations
Series 10 – Module 7: Margin and Credit Regulations Supervision
Series 10 – Module 8: Anti-Money Laundering (AML) and Financial Crimes Supervision
Series 10 – Module 9: Recordkeeping and Reporting Requirements
Series 14
Series 14 – Module 1: Introduction to Compliance and Supervision
Series 14 – Module 10: Handling Customer Complaints and Disciplinary Reporting
Series 14 – Module 11: Financial Responsibility, Net Capital Rules, and Recordkeeping
Series 14 – Module 12: Final Review and Practice Exam
Series 14 – Module 2: Broker-Dealer Structure and Regulatory Framework
Series 14 – Module 3: Registration, Continuing Education, and Licensing Requirements
Series 14 – Module 4: Supervision of Customer Accounts and New Account Procedures
Series 14 – Module 5: Communications with the Public – Advertising and Social Media Rules
Series 14 – Module 6: Trading Practices and Prohibited Activities
Series 14 – Module 7: Anti-Money Laundering (AML) and Customer Identification Programs (CIP)
Series 14 – Module 8: Insider Trading, Information Barriers, and Ethical Practices
Series 14 – Module 9: Supervision of Employee Activities and Outside Business Activities
Series 16
Series 16 – Module 1: Introduction to Supervisory Analysis
Series 16 – Module 10: Recordkeeping Requirements and Research Documentation
Series 16 – Module 11: Ethical Responsibilities and Best Practices
Series 16 – Module 12: Final Review and Practice Exam
Series 16 – Module 2: Research Report Preparation and Approval Process
Series 16 – Module 3: Disclosure Requirements in Research Reports
Series 16 – Module 4: Conflict of Interest Rules and Restrictions
Series 16 – Module 5: Analyst Independence and Integrity Standards
Series 16 – Module 6: Review of Financial Models and Valuation Methods
Series 16 – Module 7: Legal and Regulatory Framework – SEC and FINRA Rules
Series 16 – Module 8: Supervision of Communications and Publications
Series 16 – Module 9: Handling Material Nonpublic Information (MNPI)
Series 22
Series 22 – Module 1: Introduction to Direct Participation Programs (DPPs)
Series 22 – Module 10: Anti-Fraud Rules and Conflicts of Interest
Series 22 – Module 11: Recordkeeping and Reporting Requirements
Series 22 – Module 12: Final Review and Practice Exam
Series 22 – Module 2: Types of DPPs – Real Estate, Oil and Gas, Equipment Leasing
Series 22 – Module 3: Structure and Organization of DPPs
Series 22 – Module 4: Tax Considerations and Benefits of DPPs
Series 22 – Module 5: Suitability and Risks Associated with DPP Investments
Series 22 – Module 6: Regulatory Framework Governing DPPs (SEC, FINRA, IRS)
Series 22 – Module 7: Offering Documents – Prospectus, Subscription Agreements, and Disclosures
Series 22 – Module 8: Valuation, Performance, and Exit Strategies for DPPs
Series 22 – Module 9: Handling Customer Accounts and DPP Sales Supervision
Series 24
Series 24 – Module 1: Introduction to General Securities Supervision
Series 24 – Module 10: Conflicts of Interest, Insider Trading, and Information Barriers
Series 24 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and SRO Rules
Series 24 – Module 12: Final Review and Practice Exam
Series 24 – Module 2: Registration of Broker-Dealers and Associated Persons
Series 24 – Module 3: Supervising Customer Accounts and Orders
Series 24 – Module 4: Communications with the Public – Advertising and Retail Communications
Series 24 – Module 5: Supervision of Trading and Market-Making Activities
Series 24 – Module 6: Underwriting and New Issues – Primary and Secondary Markets
Series 24 – Module 7: Handling Customer Complaints, Disputes, and Reporting Requirements
Series 24 – Module 8: Financial Responsibility Rules – Net Capital, Recordkeeping, and Reporting
Series 24 – Module 9: Anti-Money Laundering Programs and Ethics Requirements
Series 26
Series 26 – Module 1: Introduction to Principal Supervision
Series 26 – Module 10: Handling Complaints, Reporting, and Escalations
Series 26 – Module 11: Understanding Compensation, Conflicts of Interest, and Sales Incentives
Series 26 – Module 12: Final Review and Practice Exam
Series 26 – Module 2: Overview of Investment Companies and Variable Contracts
Series 26 – Module 3: Registration and Licensing Requirements for Representatives
Series 26 – Module 4: Supervising Sales of Mutual Funds, Variable Annuities, and Variable Life
Series 26 – Module 5: Supervising Communications with the Public
Series 26 – Module 6: Handling Customer Accounts and Client Interactions
Series 26 – Module 7: Ethics, Fair Dealing, and Customer Protection Rules
Series 26 – Module 8: Regulatory Requirements – FINRA, SEC, and State Regulations
Series 26 – Module 9: Anti-Money Laundering (AML) and Privacy Rules (Regulation SP)
Series 27
Series 27 – Module 1: Introduction to Financial and Operations Supervision
Series 27 – Module 10: Ethics, Fraud Prevention, and Financial Integrity
Series 27 – Module 11: Regulatory Framework – SEC, FINRA, MSRB, and Other Rules
Series 27 – Module 12: Final Review and Practice Exam
Series 27 – Module 2: Broker-Dealer Financial Responsibilities and Net Capital Rules
Series 27 – Module 3: Customer Protection Rule (SEC Rule 15c3-3)
Series 27 – Module 4: Books, Records, and Reporting Requirements
Series 27 – Module 5: Regulatory Reporting – FOCUS Reports, Annual Audits, and More
Series 27 – Module 6: Supervision of Financial Controls and Internal Audits
Series 27 – Module 7: Anti-Money Laundering (AML) Requirements for Financial Operations
Series 27 – Module 8: Handling Margin Accounts and Financing Activities
Series 27 – Module 9: Risk Management and Business Continuity Planning (BCP)
Series 28
Series 28 – Module 1: Introduction to Financial and Operations Responsibilities
Series 28 – Module 10: Ethics, Fraud Prevention, and Professional Conduct
Series 28 – Module 11: SEC, FINRA, and MSRB Regulatory Framework
Series 28 – Module 12: Final Review and Practice Exam
Series 28 – Module 2: Net Capital Requirements for Introducing Broker-Dealers
Series 28 – Module 3: Customer Protection Rule Overview (SEC Rule 15c3-3)
Series 28 – Module 4: Books, Records, and Regulatory Reporting Basics
Series 28 – Module 5: FOCUS Reports and Financial Statement Requirements
Series 28 – Module 6: Anti-Money Laundering (AML) Obligations for Operations Principals
Series 28 – Module 7: Managing Margin Accounts and Related Financial Controls
Series 28 – Module 8: Business Continuity Planning (BCP) Essentials
Series 28 – Module 9: Handling Customer Funds and Securities Safeguards
Series 3
Series 3 – Module 1: Introduction to Futures and Commodities Markets
Series 3 – Module 10: Regulatory Environment – CFTC, NFA, and Compliance
Series 3 – Module 11: Ethics, Anti-Fraud Rules, and Reporting Requirements
Series 3 – Module 12: Final Review and Practice Exam
Series 3 – Module 2: Understanding Futures Contracts
Series 3 – Module 3: Hedging with Futures Contracts
Series 3 – Module 4: Speculating with Futures Contracts
Series 3 – Module 5: Options on Futures – Basics
Series 3 – Module 6: Options Strategies in Futures Markets
Series 3 – Module 7: Margin Requirements and Calculations
Series 3 – Module 8: Market Orders, Limit Orders, and Stop Orders
Series 3 – Module 9: Fundamental and Technical Analysis for Futures
Series 6
Series 6 – Step 1: Introduction to Investment Companies
Series 6 – Step 10: Overview of Regulatory Bodies and Laws
Series 6 – Step 11: Customer Transactions and Privacy Rules
Series 6 – Step 12: Final Review and Practice Exam
Series 6 – Step 2: Understanding Mutual Funds and UITs
Series 6 – Step 3: Variable Life Insurance and Annuities
Series 6 – Step 4: Securities Products and Market Basics
Series 6 – Step 5: Retirement Plans and Education Accounts
Series 6 – Step 6: Client Accounts and Ownership Types
Series 6 – Step 7: Ethical Sales Practices and Conduct Rules
Series 6 – Step 8: Public Communications and Advertising Rules
Series 6 – Step 9: Suitability, Recommendations, and Client Needs
Series 7 Exam
Function 1
Function 2
Function 3
Function 4
Module 1: Equity Securities
Module 10: Investment Products
Module 11: Retirement Plans
Module 12: Variable Annuities
Module 13: Direct Participation Programs
Module 14: Economics and Analysis
Module 15: Ethics, Recommendations, and Taxation
Module 16: US Government and State Rules and Regulations
Module 17: Other SEC and SRO Rules and Regulations
Module 2: Debt Securities
Module 3: Municipal Securities
Module 4: Options
Module 5: Customer Accounts
Module 6: Margin Accounts
Module 7: Issuing Securities
Module 8: Trading Securities
Module 9: Brokerage Services
Series 9
Series 9 – Module 1: Introduction to Options Supervision
Series 9 – Module 10: Ethics, Reporting Violations, and Best Practices
Series 9 – Module 11: Advanced Options Scenarios and Supervision
Series 9 – Module 12: Final Review and Practice Exam
Series 9 – Module 2: Customer Accounts and Options Account Approvals
Series 9 – Module 3: Options Trading Strategies Overview
Series 9 – Module 4: Supervision of Options Communications
Series 9 – Module 5: Margin Requirements for Options Accounts
Series 9 – Module 6: Handling Options Complaints and Disputes
Series 9 – Module 7: Supervision of Options Orders and Execution
Series 9 – Module 8: Option Position Limits and Exercise Limits
Series 9 – Module 9: Regulatory Framework – CBOE, FINRA, SEC Rules
SIE
SIE – Step 1: Introduction to the Securities Industry
SIE – Step 10: Prohibited Activities and Penalties
SIE – Step 11: Review of Key Laws – Securities Act of 1933, 1934, 1940, and Others
SIE – Step 12: Final Comprehensive Review and Practice Exam
SIE – Step 2: Understanding Types of Products and Investments
SIE – Step 3: Markets, Offerings, and Trading Basics
SIE – Step 4: Economic Factors and Financial Concepts
SIE – Step 5: Customer Accounts and Basic Client Interactions
SIE – Step 6: Overview of Regulatory Framework – SEC, FINRA, MSRB, and Others
SIE – Step 7: Business Conduct Rules and Ethical Responsibilities
SIE – Step 8: Anti-Money Laundering, Privacy, and Information Security
SIE – Step 9: Understanding Risks, Returns, and Investment Suitability
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Series 10
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Series 10 – Module 2: Supervision of Customer Accounts
Series 10 – Module 2: Supervision of Customer Accounts
Series 10
Series 10 – Module 2: Supervision of Customer Accounts
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'FINRA Exam Mastery'
Series 10 – Module 2: Supervision of Customer Accounts
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
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