FINRA Exams

  1. Municipal Bond Tips For The Series 7 Exam

    Learn to distinguish between general obligation and revenue bonds to ace this test. ...
  2. 6 Proven Tips For Series 6 Success

    These techniques can help you pass this test without the added stress.
  3. Tips For Passing The Series 6 Exam

    Find out what you can do during the test to make sure you get a passing score.
  4. Banker Or Broker: Which Career Is Right For You?

    Bankers and stock brokers may share similar traits, but there are many differences ...
  5. Breaking Down Financial Securities Licenses

    Find out which exam you need to begin your career as an investment professional. ...
  6. Sell-Side Analysts Need Series 86/87 Exams

    Though these tests are not particularly difficult or comprehensive, passing them ...
  1. An individual made a lump-sum deposit into a variable annuity of $25,000 ...

    The correct answer is c). Early withdrawal from a non-qualified annuity--prior to age 59½, except for death or disability, ...
  2. An investor with 1,000 shares of the Amazing Growth fund places a redemption order ...

    The correct answer is a. The investor placed her redemption order before the close of the market on Friday, so she will redeem ...
  3. Under the Uniform Securities Act, all of the following are prohibited EXCEPT ... ...

    The correct answer is c. Refusing to follow a client’s instructions and making false statements (or omitting true ones!) ...
  4. The Administrator issue may issue a stop order for a federal covered security under ...

    The correct answer is d. The Administrator may issue a stop order if it believes it to be in the best interest of the public, ...
  1. Series 55

    FINRA Series 55 Exam Guide
  2. Series 62

    FINRA Series 62 Exam Guide
  3. Series 4

    FINRA Series 4 Exam Guide
  4. Series 99

    FINRA/NASAA Series 99 Exam Guide
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