Determining if you are required to take the series 99 exam can depend on many factors. In some cases it is very straightforward, and in other cases the question may be more complex. If your firm tells you that you must pass the series 99 exam, regardless of whether or not FINRA would require you […]
Should I take the series 7 or the Series 79 exam? How do you know if your investment industry job duties or the duties of one of your reps require a Series 7 license, a Series 79 license or both? This depends on the activities being performed. The General Securities Representative (Series 7) examination covers […]
In this article we are going to take a look at employee conduct and the conduct of registered representatives. Virtually all FINRA exams will test the rules and regulations relating to professional conduct in the Securities industry. This article will highlight a number of prohibited practices that you are likely to see on your […]
In this article we are going to take a look at the role of broker-dealers who operate in the NASDAQ environment. If I were to ask you where NASDAQ is, it would be much the same as me asking you where is the internet– it’s nowhere and it’s everywhere. It’s a computer network throughout the […]
In this article we are going to take a look at how corporate securities are offered to investors for sale for the very first time. When we take a look at offering corporate securities we have to start a review with the Securities Act of 1933. The Securities Act of 1933 regulates the primary market. […]
Here are 10 terms you must know in order to successfully complete the series 22 exam: 1031 exchange Internal Revenue Code 1031 allows investors to exchange certain types of properties without recognizing a capital gain or Capital loss on the exchange. The property exchange must include properties of like-kind and must be held for investment […]
There are several key differences between the series 65 and series 66 exams. Determining which exam you should take will depend on your particular circumstances. Usually students who have passed or are planning to pass the series 7 opt to take the series 66 in lieu of the series 63 exam. This allows the agent to […]
A condor spread is similar to a butterfly spread and is the simultaneous establishment of both a bull spread and a bear spread on the same underlying security. A condor spread however, has two inner strikes in the center of the position instead of one in a butterfly spread. A condor spread contains four options […]
The money market is a place where issuers go to obtain short-term financing. An issuer who needs funds for a short term, typically under one year, will sell short-term instruments known as money market instruments to obtain the necessary funds. Corporations, Municipalities, and the US Government will all use the money market to obtain short-term […]
If you are taking The SIE exam, the Series 7 series 24 or series 99 exam, here are the must know facts about margin accounts to ensure you pass your exam. The Federal Reserve Board sets the amount that must be deposited when customers purchase securities using borrowed funds. This is known as the initial […]
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