Securities - Licensing and Exam Prep:
How To Prepare For The FINRA Exam
09/11/2019

If you wish to become a financial advisor or any other financial professional, you will have to pass the corresponding securities or FINRA exams. Putting in enough study time and studying with the right materials will significantly increase your chance of passing.

Top 10 Study Tips for FINRA Exams

Not sure where to begin studying for the FINRA exam? Here are 10 tips and study techniques:

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Securities - Licensing and Exam Prep:
About The Securities Industry Essentials Exam
07/11/2019

The FINRA Securities Industry Essentials (SIE) exam is a requirement to obtaining a Series 6, 7, 79, or 99 license.

The FINRA SIE exam is basically an introductory-level exam that assesses a candidate's knowledge of basic securities industry information and concepts fundamental to working in the industry, such as types of products and their risks, the structure of the securities industry markets, regulatory agencies and their functions, and prohibited practices.
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Securities - Licensing and Exam Prep:
About Insurance Licensing Exams
06/14/2019

To work in the insurance industry, you need to be licensed in your state for the particular type of insurance you wish to work with. To obtain that license, you will need to sit for and pass an insurance licensing test.

If you have never taken this test before, it's completely natural to have questions about how to take the insurance license exam and what to expect. There is no need to be intimidated by this exam. With the proper preparation and careful study, virtually anyone with ...

Securities - Licensing and Exam Prep:
How Long To Study For Your FINRA Securities License
06/12/2019

This page offers an overview of how long it normally takes to study for your FINRA Series 6, 7, or other type of securities license. The overview includes a listing of the required classroom hours, the recommended study time for that license type, and one or more recommended courses to help you pass your securities licensing exam. Basically, the process for earning a FINRA license is:
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Securities - Licensing and Exam Prep:
About FINRA Top Off Exams
05/18/2019

A Top Off exam is the second of two exams required to earn a Series 6, 7, 79, and 99 license (the first exam being the Securities Industry Essentials (SIE) exam, which covers industry basics).

The Top Off exam covers deep details and concepts applicable to a specific license type. Individuals must pass both the Securities Industry Essentials exam and the respective Top Off Exam to earn the license.

Requirements For The FINRA Top Off Exam

To take a FINRA Top Off exam, ...

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