FINRA Exams

  1. Municipal Bond Tips For The Series 7 Exam

    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

    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

    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?

    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

    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

    Sell-Side Analysts Need Series 86/87 Exams

    Though these tests are not particularly difficult or comprehensive, passing them ...
  1. A sales representative is permitted to take all of the following actions EXCEPT:

    A sales representative is permitted to take all of the following actions EXCEPT: a. Offer investment advice to clientsb. ...
  2. Transactions are exempt from registration where …

    Transactions are exempt from registration where … a. A sale, or offer of sale is made to ALL clients of a brokerage firm. ...
  3. What certification series does one need to be a bond broker?

    One major requirement before one can become a bond broker is to pass the General Securities Representative Exam, commonly ...
  4. All of the following are allowable deductions used in determining taxable estate ...

    A. funeral expenses. B. debts owed at time of death.C. gift tax credit used during life.D. the value of property that passes ...
  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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