📘 How the Series 24 Exam Fits into Your Compliance Career The Series 24 exam, also known as the General Securities Principal Exam, is an essential qualification for those pursuing a career in compliance within the securities industry. The Series 24 is required for professionals who want to oversee and manage the operations of a […]
🟩 How the Series 24 Helps You Advance to ManagementTake the leap from rep to leader. If you’re ready to move beyond client-facing roles and into supervisory or management positions within a broker-dealer, the Series 24 exam is your gateway. Also known as the General Securities Principal Exam, it qualifies you to oversee and manage […]
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 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 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 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 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 NASAA Exam Outlines Are CreatedPublished on finra-exam-mastery.com 📋 What Is NASAA and Why Its Exam Outlines MatterThe North American Securities Administrators Association (NASAA) is the body responsible for developing and maintaining the Series 63, Series 65, and Series 66 exams. These outlines serve as the official blueprints for what test-takers need to know to […]
🏛️ How NASAA Sets Standards for State Licensing Understanding the Role of the North American Securities Administrators Association (NASAA) If you’re preparing for exams like the Series 63, 65, or 66, it’s essential to understand the organization behind them: NASAA—the North American Securities Administrators Association. NASAA plays a central role in setting licensing standards for […]
🛡️ 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, […]