🧾 Floor Operations and Order Types – Series 7 Exam The Series 7 exam tests your knowledge of how securities are traded — including what happens on the trading floor and how different order types function in various market conditions. Mastering this material is essential for understanding execution, client instructions, and market behavior. Here’s what […]
📘 Top Free Series 7 Study Guides 🧠 Additional Study Tools 🛠️ Tips for Effective Study By leveraging these free resources and adhering to a disciplined study regimen, you’ll be well-equipped to tackle the Series 7 exam with confidence.
⚖️ FINRA vs. NASAA Exams: Scope, Purpose, and Structure Understand the Differences Before You Choose Your Licensing Path If you’re pursuing a career in the financial services industry, you’ll encounter exams administered by both FINRA and NASAA. While these organizations work together, their exams serve different roles and follow distinct rules. Here’s a side-by-side comparison […]
FINRA vs SEC: What’s the Difference in Their Exams? While both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) play central roles in U.S. securities regulation, only FINRA administers qualification exams for professionals. The SEC is a regulatory body, not a testing organization. Here’s a clear breakdown of the difference […]
⚖️ FINRA vs. SEC: What’s the Difference? When studying for exams like the Series 6, Series 7, Series 24, or Series 63, understanding the difference between FINRA and the SEC is essential. These two regulatory bodies both oversee financial markets—but they serve distinct roles with different authority and jurisdictions. Here’s a side-by-side breakdown of what […]
⚖️ FINRA’s Authority in Arbitration and Disputes The Financial Industry Regulatory Authority (FINRA) plays a central role in resolving disputes in the U.S. securities industry. As a self-regulatory organization (SRO), FINRA provides a legally binding arbitration and mediation forum for conflicts between investors, firms, and registered representatives. Here’s what you need to know about FINRA’s […]
🏛️ FINRA’s Role in Exam Licensing and Supervision The Financial Industry Regulatory Authority (FINRA) is the primary self-regulatory organization (SRO) overseeing U.S. broker-dealers and registered representatives. If you’re pursuing securities licensing—like the Series 6, Series 7, Series 24, or others—understanding FINRA’s role is essential. FINRA not only administers qualification exams, but also supervises the individuals […]
FINRA Rule Updates That Affect Licensing in 2025Published on https://finra-exam-mastery.com 🛠️ Key FINRA Rule Updates in 2025 Impacting Licensing Candidates Each year, FINRA updates its rules and procedures to reflect regulatory developments, industry changes, and technology advancements. In 2025, several updates directly impact individuals preparing for or maintaining their securities licenses. 📋 1. New Continuing […]
📜 FINRA Rules Every Candidate Should Know When preparing for FINRA exams like Series 6, 63, 65, 66, or Series 24, it’s essential to familiarize yourself with the rules and regulations that govern the financial industry. Understanding these rules not only helps you pass your exam but also ensures compliance throughout your career as a […]
FINRA Rules to Know for Series 7 Exam The Series 7 exam is one of the most critical qualifications for individuals looking to become licensed General Securities Representatives. It covers a wide range of topics related to trading, securities regulations, and ethics. Understanding the FINRA (Financial Industry Regulatory Authority) rules that govern the securities industry […]