FINRA Exam Secrets Study Guide
"How to Pass your FINRA Administered Qualification Examination, using our easy step-by-step FINRA Test study guides, without weeks and months of endless studying..."
Dear Friend,
On a beautiful late spring afternoon, this past year, a young man received some devastating news. He had just gotten back his FINRA exam result. It was not what he had hoped for. In fact, it was not even close to his expectations despite his past experience and educational background.
He had failed.
Then he remembered his friends and felt even worse. He did not look forward to having to tell them his embarrassing news, especially after he had boasted that it was no big deal. He had been procrastinating about taking the exam because he hated standardized tests, and this only confirmed his hatred.
"What will I do now?" he thought with dismay, slowly realizing the harsh reality of his predicament and its upsetting implications on his future.
How to Solve the Problem
Unfortunately, this hypothetical situation occurs all the time. Someone thought they were going to breeze through the examination, told all their friends, made plans for their future, and then got an embarrassing reality check from a FINRA exam.
FINRA administered qualification examinations are quite simply objective assessments of a test taker's requisite foundation of knowledge and skills.
FINRA exam scores are used by the Financial Industry Regulatory Authority (FINRA) as a uniform standard of qualification. While it may not be fair, all of a person's plans for the future may be dependent upon needing a certain FINRA exam score.
That is the whole purpose of our FINRA Exam Secrets study guides: to give test takers the keys to understand how to succeed on the FINRA exams.
Our Study Guide for the FINRA Exam Is Unlike Any Other
If you'd like to get the FINRA exam score you deserve, to quit worrying about whether your FINRA exam score is "good enough," and to beat the test taking game, then this might be the most important message you read this year.
Our comprehensive FINRA Series Examination study guides are written by our FINRA exam experts, who painstakingly researched every topic and concept you need to know to pass your FINRA Series Exam. Our original research into the FINRA administered qualification examinations, offered by the Financial Industry Regulatory Authority (FINRA), reveals specific content areas and skills that are critical for you to know on your FINRA exam. We've taken that information and developed a study guide that is guaranteed to help you be successful on your FINRA exam.
Our study guides cover these Financial Industry Regulatory Authority (FINRA) Examinations:
- Series 3 - National Commodity Futures Examination
- Series 6 - Investment Company Products/Variable Contracts Limited Representative Qualification Examination
- Series 7 - Qualification Examination for General Securities Registered Representative
- Series 9/10 - General Securities Sales Supervisor Qualification Examination
- Series 24 - General Securities Principal Qualification Examination
- Series 30 - Branch Manager Examination - Futures
- Series 62 - Corporate Securities Limited Representative Qualification Examination
- Series 63 - Uniform Securities Agent State Law Examination
- Series 65 - Uniform Investment Adviser Law Examination
- Series 66 - Uniform Combined State Law Examination
- Series 87 - Research Analyst Examination
Now, we know you may be skeptical, so let us give you three good reasons we can back up what we claim:
Three Reasons To Believe What We Say
Reason one:
Our company's name is Mometrix Media LLC, and we have a team of standardized test researchers who have worked on developing our FINRA exams study guide. There are very strict standards for who gets to work on the team- we demand the best for our customers, and only those who met our exacting standards made the cut. Our dedicated research staff have years of combined experience in mastering the content and skills necessary to succeed on the toughest exams.
Reason two:
Some academic studies have revealed that test takers do not really benefit from traditional test preparation. But we knew there had to be a solution- if test takers were not doing well on the FINRA exams despite high intelligence, there had to be a set of secret keys to the test that would open the door of success for these test takers.
We believe we have succeeded in finding the secret keys of these exams. What we found was surprising, and in some cases ridiculously simple once explained to the average test taker.
We put our findings together in thorough, concise study guides that we believe allow any test taker, at any skill level, to improve his or her results dramatically with a minimum of effort.
Reason three:
We created these products in part because we were frustrated by the options available to test takers who really wanted to do well on their FINRA exam.
A common approach is to TEACH the material, instead of TEACHING THE TEST. That's not necessarily good enough for the FINRA exams- you have to know how to apply the knowledge. Most test takers already have a general knowledge of what will be covered on the exam.
One reason some test takers do well on test day is that they have made the critical connection between the material they learned and how to use that material to succeed on their FINRA exam.
Our guides address the difference between merely knowing the material and knowing how to use the material to perform on test day.
You're going to save time, money, and aggravation. You'll learn to avoid the mistakes and bad strategies that you've been vulnerable to. Just for starters, here are some ways our products can help your FINRA exam score...
Exclusive Test Taking Techniques
- Keys to questions that "give away" wrong (or right) answers- You get credit for some questions without really even knowing anything about them
- Get quick, customized help for any questions you have- just send us a quick email and we'll get back to you promptly with an answer.
- Details the EXACT STUDY PLAN for your FINRA exam that we believe gives the most results in the least time- No matter if you're studying for a week or a month, you won't waste your time on useless activities
- Our researchers are more than just academic theoreticians who understand the technical nature of standardized tests, but are also experts on test taking itself- they reveal the exact skills and information you'll need to perform under pressure on test day.
- A systematic analysis and breakdown into "plain language" of how to deconstruct and master each problem- You turn problems that most test takers stumble over to your advantage
- Learn why, when, and how to guess to your advantage
- Includes detailed instructions on how to get started so you can begin improving your scores immediately
- Our most efficient and accurate method for picking the right answer every time- You won't be scratching your head trying to read the mind of the question writer, but will instead know exactly what to look for to pick the best answer
- Courteous, unlimited customer service is 100% free- if you need the product emailed to a different address, lose the product, or have any other difficulty- help is just a short email away and our representatives are active 7 days a week helping customers
- Our research is 100% independent and original
- Our exclusive "calibration strategy" to help you never go too fast OR too slow when answering questions
- Our 5-step process that uses a "phased" approach to the use of study aids and practice tests
- How procrastination can kill your chance of success, and what to do about it
- How to know when you've studied as much as you need to- and why we think some people should spend LESS time studying
- The Top 20 things you should take care of within 24 hours of your test- use this list as a checklist to make sure you've taken care of the "little things" in addition to studying hard
- How to predict the right answer before you see the answer choices- and how to prevent wrong answers from "polluting" your mind and tempting you into a trap designed by the test writers
- Why answers that "sound" correct are often wrong- and how to tell the difference between right answers and clever-sounding traps
- Our "benchmark" method for deciding which answer choice to pick
- How random bits of information often "give away" the right answer in questions
- How to "milk the question" for clues to the right answer even if you have no idea what it is asking about
- How to avoid panicking when you don't know the answer to a question- we offer a systematic method that will serve as a "lifeline" when you need help
- What to do about tough questions that you have no clue how to answer- don't just give up, use our advice to make sure you give yourself the best chance of getting the right answer
- How to use our brainstorming method to get "inside the question" and reveal hard-to-find clues and things you didn't realize you knew
- Do you know what a "hedge phrase" is? Learn why looking for these key "weasel words" can help identify correct answers
- Why "new information" in answer choices almost always means that the answer choice is wrong- and how to avoid this trick planted by clever test writers
- Learn to avoid this time-draining mistake on tests- why technical terms you don't know can be a major stumbling block and waste precious time, and how to work around them
- The secret to using contextual clues to make important distinctions between right and wrong answer choices
- Two situations where you should NOT check your answers thoroughly
- How to avoid careless mistakes by using our quick "double check" system that will more than pay for itself relative to the time it will take you
- Test writers will often quote directly from the question in an answer- learn whether this is something you should trust or avoid
- Why "extreme statements" in answer choices are dead giveaways for wrong answers- find out how to detect the subtle differences between reasonable answers and those that are almost always wrong
- Learn how to group your answer choices into "families" that often narrows down the pool of correct answers- this is a quick way to immediately eliminate one or two answer choices and increase your odds of getting the question right
Now, you're probably wondering how and why we can do all those things.
Let us explain.
Before we go any further, let us clarify what FINRA Exam Secrets is not. It is not a stale rehash of all of the things you have already learned.
FINRA Exam Secrets is our exclusive collection of tips and information specially selected to give you the best results on your FINRA exam for the least time spent studying. It's written in everyday language and is easy to use.
We cover the 5 essential skills necessary to do well on the FINRA exams, plus comprehensive reviews covering all the essential test sections individually.
Don't take our word for it. Listen to what our customers say about other Mometrix test preparation products.
I purchased your Secrets file, and I just wanted to let you know that I got a 99% on my test. I just want to thank you again, and hope you have continued success in your ventures. Sincerely, Paul L.
My name is Chris. I used the Secrets study guide for five days. The study guide made the test so easy to understand. Like you said this program is worth 100's of dollars. To me 1,000's!! THANKS, Chris G.
I just had to thank you guys for the test prep! I bought the guide as a last minute prep, I mean maybe 5 hours before the test. Like I said, I had ZERO preparation! I was nervous about the test let alone receiving the score I needed. I read the guide through only once before test time and needless to say, the only way I passed was thanks to your refresher!! Brian
I heard about your website from a friend. I am enrolled in a review course, and in hindsight, I wish I wouldn't have taken my review course and instead spent a fraction of the money on your program. Thank you! Zac L.
Warning: Always Look for These 6 Criteria
There is a lot of confusion surrounding studying for FINRA exams, and standardized tests in general. In our opinion, these are the 6 criteria you should always look for in a study guide for your FINRA exam:
One: It must be written by writers who have painstakingly researched the topics and concepts needed to succeed on the FINRA exams. The blind cannot hope to lead the blind.
Two: It must be written in easy-to-use everyday language so all test takers can access the information.
Three: It should be to-the-point, with no fluff to distract the test taker from the truly important information.
Four: It must address the test first, the material second. If the material was the only thing that was important, then every test taker that understood the material should get a perfect score- that doesn't happen because there's a difference between simply knowing what's on the test and test performance. You want a study guide to close that gap.
Five: It must motivate the test taker to actually study. If it's hard to read, studying is slow and painful, and will produce meager results.
Six: The guide must be guaranteed- if you don't pass with flying colors, you get your money back- no questions asked.
You get at least 10 times your money's worth!
When you consider what's at stake with your exam, we believe the value of our study guide gives you at least ten times your money's worth.
In summary, here's what you get:
When you buy FINRA Exam Secrets, it includes-
The 5 Secret Keys to FINRA Exam Success:
- Time is Your Greatest Enemy
- Guessing is Not Guesswork
- Practice Smarter, Not Harder
- Prepare, Don't Procrastinate
- Test Yourself
A comprehensive General Strategy review including:
- Make Predictions
- Answer the Question
- Benchmark
- Valid Information
- Avoid "Fact Traps"
- Milk the Question
- The Trap of Familiarity
- Eliminate Answers
- Tough Questions
- Brainstorm
- Read Carefully
- Face Value
- Prefixes
- Hedge Phrases
- Switchback Words
- New Information
- Time Management
- Contextual Clues
- Don't Panic
- Pace Yourself
- Answer Selection
- Check Your Work
- Beware of Directly Quoted Answers
- Slang
- Extreme Statements
- Answer Choice Families
Click below to see just a small sampling of the topics covered by our study guides:
Series 3 - National Commodity Futures Exam Topics
- Commodities Futures Trading Commission
- The New York Mercantile Exchange
- The Chicago Board of Trade
- The Chicago Mercantile Exchange
- Forward Contract
- Price of a Commodity
- Carrying Charge Market
- Clearing House
- Commodities Clearing House
- Commodity Prices
- Categories of Commodity
- Hedger and Speculator
- Hedging
- Cash Market Prices and Futures Prices
- Rules of Hedge Protection
- Types of Speculative Strategy
- Spot Market
- Intermarket Spread
- Spread
- Intra-commodity Spreads
- Analysis of Fundamentals
- Technical Analysis
- Trading Range
- Bar Chart
- Moving Average Charting
- Point and Figure Chart
- Commodity Credit Corporation (CCC)
- Supply Elasticity and Demand Elasticity
- Government Economic Policy
- Money Supply
- Efficient Market Theory
- Disintermediation
- Federal Reserve Board
- Supply and Demand
- Yield Curve chart
- Normal Yield Curve and Flat Yield Curve
- Volatility
- T-bills and T-bonds
- Short-term Futures Debt
- Long-term Debt Obligations
- Ginnie Mae
- Stock Index Future
- Municipal Bond Index
- Foreign Currency Trading
- Option Holder
- Futures Commission Merchant (FCM)
- Long-term Equity Anticipation Securities
- Index Futures Options
- Cancel Former Order (CFO)
- Commodity Pool Operator (CPO)
- Fill-or-Kill Order (FOK)
- Exchanged Traded Fund (ETF)
- Grain Futures Act
- Commodity Exchange Act Of 1936
- Commodities Trading Advisor
- Commodities Futures Trading Commission
- Disciplinary Actions of the CFTC
- National Futures Association
- Types of Positioning Orders
- The Standard & Poor's 500
Series 6 - Investment Company Products/Variable Contracts Limited Representative Qualification Exam Topics
- Municipal Bonds
- Industrial Revenue Bonds
- Taxable and Tax-Exempt Bonds
- Hedge Funds
- Indexed Savings Bond
- Government Fiscal Policy
- Market Forces of Supply and Demand
- Currency Exchange Rates
- Reporting Income from Mutual Funds
- Reporting Capital Gains
- The Howie Case
- Securities and Exchange Commission
- Exchanges as Taxable Events
- Statutory Disqualification
- Registered Securities Associations
- Insider Trading
- Rules and Bylaws of FINRA
- Net Qualifying Dividends
- Calculating Cost Basis
- Roth IRA's and Traditional IRA's
- Retirement and Tax Advantaged Plans
- Defined Contribution Plans
- Exchange Markets
- Securities Markets
- New Issues Markets
- Price and Yield Terms
- Equity Securities
- Debt Securities
- Marketable Issues
- Types of Mutual Fund Fees
- Fraudulent Interstate Transactions
- Features of Accumulation
- Types of Investment Risk
- Assets and Liabilities
- Customer Suitability Factors
- Concepts of Risk and Reward
- Risk Tolerance
- Research Departments
- Investment Act of 1940
- Fund Characteristics
- Types of Funds
- Naked Short Selling
- Open-End Investment Companies
- Functions of Investment Advisers
- Factors in Comparing Funds
- Functions of Board of Directors
- Distribution of Securities
- Fair Dealing with Customers
- Fund Characteristics
- Money Market Funds
- Bank Secrecy Act
- Variable Annuity Contracts
- Unit Investment Trust (UIT)
- Requirements for Record Keeping
Series 7 - Qualification Examination for General Securities Registered Representative Topics
- Money Supply
- Arbitrage Trading
- Fiduciary Accounts
- Hypothecation
- Roth IRA
- Municipal Bond Insurance
- Insider Trading
- Keogh Plans
- OTC Listed Market529 Plans
- Stock's Beta Coefficient
- CUSIP
- Book Value per Share
- Proxy Solicitations
- Treasury Receipts Short Selling
- SIPC
- FINRA Code of Procedure
- Discretionary Brokerage Accounts
- Fannie Mae
- Certificates of Deposit
- SEC Act of 1934
- Cyclical Industries
- Short Interest Theory
- 401k Plans
- Foreign Mutual Funds
- New York Stock Exchange
- Combination Privilege
- IRA Distributions
- Options Trading
- Puttable Bonds
- Declaration Date
- NASDAQ Level 3
- UGMA Accounts
- Consolidated Tape
- Stock Split
- Margin Trading
- Benefits of Stock Ownership
- REITs
- Investment GradeBonds
- Moral Obligation Bonds
- Trust Indenture
- Bond Underwriting
- Conversion Price
- Moody's Bond Rating System
- Authorized Stock
- Company's Net worth
- Book Value vs. Market Value
- Stock Certificate
- Treasury Notes
- Callable Bonds
- Warrants
- American Depositary Receipt
- Dividends
Series 9/10 - General Securities Sales Supervisor Qualification Exam Topics
- Contracts
- Government and Corporate Bonds
- Mutual Funds
- Conventional IRAs and Roth IRAs
- Municipal Fund Securities
- ERISA (Employee Retirement Income Security Act)
- Municipal Securities Rulemaking Board (MSRB)
- Breakeven Price
- Short Call Strategy
- Losses
- Straddles and Combinations
- Spreads
- Short Put Spread
- Credit Spreads
- Equity Registered Options Principal (EROP)
- Debt Registered Options Principal (DROP)
- Foreign Currency Registered Options Principal (FCROP)
- Maximum Potential Gain
- Ratio Spreads
- Synthetic Long Call
- Options Clearing Corporation
- OCC Rules
- Position Limits
- Long-term Equity AnticiPation (LEAP)
- Market Index
- Dow Jones Industrial Average
- S&P 100 (OEX)
- Index Options
- Major Market Index (XMI)
- Value Line Contract (VLE)
- Treasury Bill Interest Rate (IRX)
- Short Strangle
- Foreign Currency
- The Philadelphia Stock Exchange (PHLX)
- Interest Rate Options
- Foreign Currency Options
- Naked Options
- Options Agreement
- Registered Options Principal (ROP)
- Third Party Trading
- Senior Registered Options Principal (SROP)
- Compliance Registered Options Principal (CROP)
- Types of Communications
- Confirmation
- Regulation T
- Stock Position
- IRS Regulations
- Wash Sale Rule
- Duties of an Order Book Official and a Board Broker
- Floor Broker and a Marker Maker
- FINRA policies
- Activities Prohibited by the FINRA
- FINRA Code of Procedure
- FINRA Code of Arbitration
- Public Arbiters and Non-Public Arbiters
- Regulation FD
- Chinese Walls
- Risk Disclosure Documents
- Fiduciary Accounts
- Corporate Accounts and Partnership Accounts
- Discretionary Accounts
- FINRA and NYSE Rules
- Patriot Act
- Minimum Maintenance Margins
- The Securities Act of 1933
- Regulation G and Regulation X
- Exchange Policies
- Regulation D: Private Placement
- Rule 147: Intrastate Offering
- Regulation A: Small Dollar Offerings
- Securities and Exchange Act of 1934
- Regulation M
- New York Stock Exchange
Series 24 - General Securities Principal Qualification Exam Topics
- Letter of Intent
- Over the Counter (OTC) Market
- Green Shoe Clause
- Exemptions
- Securities Act of 1933
- Rule 144
- Restricted and Control Securities
- Regulation S
- Accredited investor
- Securities Exchange Act of 1934
- Role of the SEC
- Regulation M
- Manipulative and Deceptive Devices
- Trade Markets
- Basic Market Division
- Consolidated Quotations Service
- Regulation National Market System
- Payment for Order Flow
- NYSE Trade Rules
- Regulation SHO
- Super Designated Order Turnaround (Super DOT)
- OTC Market
- Crossing of Block Trades
- The FINRA
- The SuperMontage System
- Registration Rules
- Opening and Closing Cross Procedures
- SelectNet
- Advanced Computerized Execution System
- Electronic Communications Networks
- Order Audit Trail System OATS
- Over-the-Counter Bulletin Board
- Requirements for Non-NASDAQ Companies
- Customer Accounts
- Employment Retirement Income Security Act
- Coverdell Education Savings Account
- Individual Retirement Accounts
- Margin Account
- Discretionary Account
- Uniform Transfers to Minors Act (UTMA)
- The PATRIOT Act
- Margin Accounts
- Regulation T
- Special Memorandum Accounts SMA
- Federal Reserve Board rules
- Delivery Versus Payment, or DVP
- FINRA Operations
- FINRA Membership
- NASDR
- Office of Supervisory Jurisdiction
- American Depository Receipts
- Trade Comparison and DK notice
- Securities Act Amendments
- Conduct Rules
- FINRA Rules
- FINRA Code of Arbitration
Series 30 - Branch Manager Examination - Futures Topics
- Temporary License (TL)
- Promotional Materials
- NFA's Disciplinary Process
- The International Money Laundering Abatement
- Anti-Terrorist Financing Act
- Self-Examination Checklist
- Disaster Recovery Plan
- Registration
- Supervision
- Ethics Training
- Business Continuity
- Disaster Recovery Plan
- Privacy Rules
- Account Opening
- Customer Identification Program (CIP)
- Financial Reports
- Performance Information
- Statement of Additional Information
- BCC (Business Conduct Committee)
- Complaint Report
- Hearing Panel
- The Respondent
- Settlement Process
- Penalties
- Floor Brokers
- Floor Trader
- Introducing Broker
- Futures Commission Merchant
- Foreign Applicants
- Forex (Foreign Exchange Market)
- Commodity Pool Operator
- Securities Exchange Act of 1934
- Forward Contract and Futures Contract Over the Counter Market
- CTRS (Computerized Trading Reconstruction System)
- CBOT (Chicago Board Of Trade)
- MIDIS (Market Information Data Inquiry System)
- LDB (Liquidity Data Bank)
- GLOBEX
- Hedging
- Original Margin
- Clearing Margin
- Margin Call
- Bear and Bull Strategies
- Open Interest
- Volatility and Volume
- Feed Ratio
- Clearinghouse
- Disclosure Document
- On-site Inspections
- Leverage
- Bona Fide Hedge
- Commodity Pool Operators (CPO)
- Expulsion from the NFA
- Bunched Orders
Series 62 - Corporate Securities Limited Representative Qualification Exam Topics
- Equity Securities
- Rights and Risks Associated with Stock
- Real Estate Investment Trusts
- Preemptive Rights
- Debt Securities
- CUSIP
- CUSIP Service Bureau
- Bond Certificates
- The Trust Indenture Act
- Collateralized Mortgage Obligations
- Government Securities
- T-bills, T-notes and T-bonds
- GNMA
- T-strips and T-receipts
- The Federal Farm Credit System
- Money Markets
- Commercial Paper
- Economic Concepts
- The Federal Reserve Board
- Federal Open Market Committee
- Consumer Price Index
- Underwriting
- Types of Underwriting Commitments
- Regulation D Offering
- The Securities Market
- Types of Orders
- The Super DOT system
- NASDAQ
- Advanced Computerized Execution System
- Alternative Display Facility
- Electronic Communications Networks
- The Role of Market Makers
- The Limit Order Rule
- Automatic Confirmation Transaction System
- The Trade Reporting and Compliance Engine
- Types of Arbitrage
- Broker/Dealer Procedures
- Role of the Margin and Cashiering Departments
- Settlement Options
- Proxies
- Investment Analysis
- The Balance Sheet
- Fundamental and Technical Analysis
- The Efficient Market Theory
- Customer Accounts
- Joint Tenants with Rights of Survivorship
- Joint Tenants in Common
- TOD account
- Illegal Practices
- UGMA Uniform Gift to Minors Account
- Rules and Regulations
- Securities Exchange Act of 1934
- National Association of Securities Dealers
- Maloney Act of 1938
- Securities Investor Protection Corporation
- Telephone Consumer Protection Act of 1991
- Retirement Plans
- Keogh Plans
- Section 529 Plans
- ERISA
Series 63 - Uniform Securities Agent State Law Exam Topics
- Uniform Securities Act
- Role of the Administrator
- Reasons for Registration Denial
- Federally Covered Securities
- Authority of State Administrators
- Bank Secrecy Act
- Red Flags
- General Enforcement
- Securities Investor Protection Act
- Money Laundering
- Characteristics of Investment Advisers
- Broker Activities
- Security Sales
- Dealer Activities
- ERISA
- Basic Registration Requirements
- Bond Requirements
- Prohibited Business Practices
- Record Keeping Requirements
- Investment Contracts
- Authorization Requirements
- Registration by Coordination
- Exempt Security Transactions
- Material Facts
- Investment Adviser's Act of 1940
- Broker-Dealer Ethics
- Currency and Foreign Transactions Reporting Act
- Use of Guarantees
- Trust Indenture Act of 1939
- ITSFEA
- Assessable Stocks
- Bank Secrecy Act
- Conflicts of Interest
- Front Running and Matching
- Purchases and Prohibitions
- Agency Cross Transactions
- Fiduciary Responsibilities
- Investment Advisers
- Investment Advisory Contract Standards
- Limitations in Negotiating Contracts
- Fraudulent Business Practices
- Test-Taking Strategies
- Federal Rules
- Securities and Exchange Commission
- National Securities Markets Improvements Act
- Securities Litigation Uniform Standards Act
Series 65 - Uniform Investment Adviser Law Exam Topics
- Investment Advisers Act of 1940
- Types of Investment Companies
- Money Laundering
- Gramm-Leach-Bliley and Privacy Act
- Uniform Securities Act (USA)
- Broker/Dealer
- Agent
- Investment Adviser
- Nonsecurity Investments vs. Securities Investments
- Fraud and Unethical Behavior
- Market Manipulation
- Investment Advisory Contracts
- Powers of the Administrator
- Common Stock and Preferred Stock
- Proxy Voting
- Limited Liability
- American Depository Receipts (ADRS)
- Real Estate Investment Trusts (REITS)
- Debt Securities
- Equipment Trust Certificates
- Guaranteed Bonds
- US Treasury Bills
- Treasury Notes and US Treasury bonds
- Treasury Inflation Protection Securities (TIPS)
- Bonds
- Letter of Intent
- Investment Company Act of 1940
- Funds
- Definitions and Terminology
- Annuities
- Treasury Notes and US Treasury Bonds
- Partnerships
- Currency Transaction Reports (CTRs)
- Office of Foreign Asset Control (OFAC)
- IRA's
- Accounts
- Investment Advisers
- Tax Reporting
- Markets
- Adviser's Fiduciary Responsibilities
- Securities Acts Amendments of 1975
- Client Personal Profile
- Funding Techniques
- Capital Gains
- Unemployment
- Inflation
Series 66 - Uniform Combined State Law Exam Topics
- Evaluating Investments
- Ratios
- Averages
- Types of Return
- Four Types of Income Tax
- Analyzing Financial Profiles
- Partnerships
- Securities
- Four Types of Preferred Stock
- Focused and External Funds
- Real and Expected Returns
- Revocable and Irrevocable Trusts
- Annuities
- Class A, B, and C Mutual Funds
- Treasury and Municipal Bonds
- Investment Goals
- Retirement Plan Issues
- Traditional and Roth IRA's
- Understanding and Managing Risk
- Types of Loss
- Non-Qualified Retirement Plan
- Stock Investment Strategies
- Portfolio Management
- Mixed and Managed Accounts
- Types of Financing
- Capital Gain, Appreciation, and Loss
- Asset Allocation
- Types of Loans
- NSMIA
- Registration
- Qualification and Submission Requirements
- Securities Exempt from Registration
- Regulation of Securities
- Roles of the Investment Advisor Representative
- Administrative Procedures
- Powers of Investigation and Subpoena
- Disclosure
- Investment Advisor Contracts
- SEC Rules and Conditions
- Options
- Advertising
- Solicitation
- Compensation
- Custody of Client Funds
- Suitability of Investments
- Investment Concepts
- Rates and Orders
- Primary and Secondary Offerings
- Brokerage, Block, and Trade Houses
- Mutual Funds
- Lots and Spreads
- Conflicts of Interest
- Insider Trading
- Fiduciary Duties
- Predicting Investment Performance
- Calculating Investment Performance
- Margins and Prices
Series 87 - Research Analyst Exam Topics
- FINRA Registration Requirements
- Supervisory Analyst
- Securities Act Of 1933
- 1934 Securities And Exchange Act
- 20 Day Cooling-Off Period
- Rule 147 Exemption
- SEC Rule 135
- Underwriting Group
- Broker/Dealers
- Research Analyst
- Regulation FD (Fair Disclosure)
- SEC Rule 17a-3
- Non-GAAP Financial Measure
- Securities Issuer
- Regulation A Exemption
- Rule 2720
- New Issue
- Restricted Person
- Investment Banking And Research
- Line Graphs
- Price Targets
- Communications Recordkeeping Requirements
- FINRA Advertising Regulation Department
- Variable Life Insurance
- Variable Annuities
- Investment Company Rankings
- Security Futures
- Rule 144 Exemption
- Communications Disclosure Requirements
- Collateralized Mortgage Obligation
- Institutional Investor
- Options Communications
- Records And Statistics
- Market Letter
- Sales Literature
- Projections And Predictions
- Comparisons And Dating Reports
- Sources And Testimonials
- Disclosure Exemptions
- Investment Banking Departments
- Securities Offerings
- Rule 791
- Regulation D Exemption
- Research Analyst Compensation
- Subject Company
- Trading Of Securities
plus other special tips and secrets to help you prepare for your exam...
These comprehensive packages are available to you starting at the incredibly low price of $39.99.
Receive the Following Bonuses
Since we know it's 100% to your benefit to use our study guide, we want to further encourage you by also including the following with your order:
Study Secrets- The way to get the test score that you deserve is by proper preparation. That includes both knowing what to study and how to study. Our FINRA Exam Secrets study guides will teach you what you need to know, but our Study Secrets bonus will show you HOW to use it to be successful on your FINRA Exam. Improving your ability to learn and to learn faster will accelerate your progress as you study for your test. Here is some of what is included:
- Starting off right by having the proper mindset and intensity
- Designing a plan, schedule, and goals that will help you target success
- Working through your preparation plan as you study
- Recognizing the difference between effective and ineffective studying
- Understanding how to use resources and identifying key information
- Being prepared for the unexpected and staying focused on exam day
Study Secrets teaches you everything you need to know about studying, so that you can maximize the effectiveness of the time you spend in preparation and are guaranteed to get the results you deserve on test day. Study Secrets is an in-depth, comprehensive study manual and is here available completely free along with your regular purchase of a copy of FINRA Exam Secrets.
What Your Test Score Can Tell You About Your IQ- Did you know that standardized tests are structured to give a statistical "picture" just like an IQ test? In this report, we explain in easy-to-understand language how you can take your percentile score and convert that to your "test IQ"- you'll know exactly what your IQ is relative to other taking the test using our simple table- we've done all the complicated math, you just look it up.
How to Overcome Test Anxiety- Do you get really nervous before important tests? If so, you could be suffering from a mild form of what's known as "test anxiety." This report gives you important research into test anxiety, including our exclusive tips on how to make your test-taking experience as stress-free as possible while maximizing your score.
Should You Retake Your Test?- There's a lot of confusion with regards to whether you should retake your test or not. This report shows you how to handle this complex question based on your personal situation.
LIFETIME VALUE FREE BONUS
LIFETIME Free Upgrades And Product Replacement- at Mometrix Media, we're continually updating and improving our product to reflect the current version of the test. As our customer, you are entitled to free, lifetime updates of your product.
If there is ever a change to the test, or you would just like to get the latest copy (or even if you've lost your copy!) just send us an email and we'll cheerfully send you the latest version of the product via email, for free!
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Get the FINRA Exam Secrets Study Guide Here's how to order right now!
FINRA Exam Secrets can be ordered directly from this site. Your copy will typically ship within one business day from our shipping facility.
Or, if you prefer, you can order your study guide as an instantly downloadable ebook. It doesn't require any special software- if you can read this web page, and have access to a computer, you have all you need to start using and applying FINRA Exam Secrets in just five minutes. You don't have to wait for anything to come in the mail. Download FINRA Exam Secrets to your computer immediately!
Both versions are the same price and contain the same information- if you need instant access and are comfortable with ebooks, order the ebook. If you prefer a physical book and can wait for the product to arrive in the mail, order the printed book.
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