Finance

Securities Acts of 1933, 1934, 1940, etc. – Series 7 ExamPublished on finra-exam-mastery.com 📜 Overview of Key Securities Acts Tested on the Series 7 ExamThe Series 7 exam places strong emphasis on major federal securities laws that shape how the financial industry operates. These laws establish rules for registration, disclosure, antifraud provisions, and regulatory oversight. […]

⚖️ SEC Rulemaking Process: How It Works From Concept to Regulation – A Step-by-Step Breakdown The U.S. Securities and Exchange Commission (SEC) plays a key role in maintaining fair and efficient markets through rulemaking. Whether you’re preparing for the Series 24, Series 65, or a compliance role, understanding how the SEC creates and enforces rules […]

🛡️ SEC and FINRA Registration – Series 7 Exam The Series 7 exam, officially the General Securities Representative Qualification Exam, is a cornerstone for professionals looking to sell a broad range of securities products in the U.S. financial markets. To legally operate as a registered representative, candidates must meet specific registration requirements with both FINRA […]

⚖️ SEC Enforcement Actions: What You Need to Know The U.S. Securities and Exchange Commission (SEC) plays a central role in maintaining fair, orderly, and efficient markets. One of its most powerful tools is enforcement action—used to investigate, punish, and deter violations of federal securities laws. If you’re entering the financial industry or managing regulatory […]

🧾 SEC Oversight of Investment Advisers Explained📘 Understanding How the SEC Regulates Investment Advisers for the Series 65 Exam The Securities and Exchange Commission (SEC) plays a critical role in regulating investment advisers at the federal level. If you’re preparing for the Series 65 exam, you must clearly understand when the SEC steps in, what […]

🏛️ SEC Registration and Operations – Series 7 Exam The Series 7 exam tests more than product knowledge — it also evaluates your understanding of how the Securities and Exchange Commission (SEC) regulates broker-dealers and market operations. A strong grasp of SEC registration, regulatory functions, and compliance requirements is essential for passing the exam and […]

🧾 SEC Registration Requirements for Public Companies📘 Key Steps and Criteria Companies Must Meet to Register with the SEC When a company wants to go public—meaning it plans to sell its securities (stocks, bonds) to the investing public—it must register with the U.S. Securities and Exchange Commission (SEC). Registration ensures that investors have access to […]

🧾 Retaking a FINRA Exam: Rules and Strategies📘 What You Need to Know if You Don’t Pass the First Time Failing a FINRA exam like the Series 65, Series 7, or Series 66 can be frustrating, but it’s not the end of the road. Many successful financial professionals have had to retake an exam. Understanding […]

🧾 Retaking the SIE Exam – Real Student Reflections📘 Lessons Learned and Strategies That Work the Second Time Failing the SIE (Securities Industry Essentials) Exam can feel discouraging, but it’s much more common than most people realize. Many students find the first attempt to be a valuable learning experience, and use it to come back […]

🧾 Return on Investment – Series 7 Exam Focus📘 Understanding ROI Calculations and Concepts for Securities Licensing Success The Return on Investment (ROI) is a fundamental financial concept tested on the Series 7 exam. You need to know how to calculate it, when to apply it, and what it indicates about an investment’s performance. Here’s […]