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. Which of the following terms are associated with the purchase/redemption of open-end ...

    The correct answer is b. Forward pricing is the SEC Rule that requires all transactions in open-end investment company shares ...
  2. A registered representative has been following PDQ stock in the market over the past ...

    The correct answer is c. Current yield compares the current price of acquiring the stock to the income from the stock, the ...
  3. A man opened a Uniform Transfers to Minors Account for his grandson several years ...

    The correct answer is c. Income in UGMA/UTMA accounts is always taxable, the question is at whose bracket. The general rule ...
  4. Which of the following would be considered “sales literature” under the NASD’s definition ...

    The correct answer is d. Advertising is material created by a broker-dealer for use with the public, where the firm cannot ...
  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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