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. Should You Add A Securities License To Your Qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of ...
  1. The popular trading system "Instinet" is situated in which of the following markets ...

    Free info on financial certification exams including study guides, exam questions, and much more!
  2. When a floor broker asks a specialist, “How’s PDQ?” ...

    The correct answer is d) When the specialist gave the floor broker the quote of “59.20 to 35; 6 by 11,”  the quote meant ...
  3. A person purchases stock XYZ (an Over The Counter stock) from a company who is also ...

    The correct answer is c When the firm is a market maker in the stock then it must act as a principle. Principal is the main ...
  4. 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, ...
  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
Trading Center