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Secrets of the FINRA Qualification Exams Study Guides


Secrets of the FINRA Qualification Exams Study Guide
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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 the devastating news. He had just gotten back his result on the FINRA exam. It was not what he had hoped for. In fact, it was not even close to the expectations he had considering 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 the 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 the Secrets of the FINRA Qualification Exams study guides: to give test takers the keys to understand how to succeed on the FINRA exams.

Our FINRA Exam Study Guide Is Unlike Any Other

If you'd like to get the FINRA exam score you deserve, to quit worrying about whether your score on the FINRA exam 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 exam experts, who painstakingly researched the topics and the concepts that you need to know to do your best on the FINRA Series Exam. Our original research into the FINRA administered qualification examinations, offered by the Financial Industry Regulatory Authority (FINRA), reveals the specific content areas and the essential skills that are critical for you to know on your FINRA exam. We've taken the 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 SIE - Security Industry Essentials Examination
  • 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 26 - Investment Company and Variable Contracts Products Principal Qualification Examination
  • Series 27 - Financial and Operations Principal Qualification Examination
  • Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination
  • Series 30 - Branch Manager Examination - Futures
  • Series 57 - Securities Trader 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 79 - Investment Banking Representative Qualification Examination
  • Series 86 & 87 - Research Analyst Examination
  • Series 99 - Operations Professional Qualification Examination

The Exclusive Test Taking Techniques

  • Learn why, when, and how to guess to your advantage. Many test takers use exactly the wrong strategy, but you can avoid the pitfalls with the help of our standardized test experts.
  • Why answers that sound correct are often the very ones that are wrong and how to tell the difference between the right answer and the many clever-sounding traps set for you by the test writers.
  • Our benchmark method for deciding which of the answer choices you should pick.
  • What to do about the tough questions that you have no clue how to answer. Don't just give up, use the advice we offer to make sure you give yourself the best chance of getting the right answer.
  • 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 of the answer choices and increase your odds of getting the question right.

Before we go any further, let us clarify what Secrets of the FINRA Qualification Exams is not. It is not a stale rehash of all of the things you have already learned in the past.

Secrets of the FINRA Qualification Exams is our exclusive collection of the tips and the information that we have 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 essential skills necessary to do well on the FINRA exams, plus comprehensive reviews covering all of the essential test sections individually.

Don't take our word for it.
Listen to what our customers say about other Mometrix test preparation products.

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Five Stars

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Brian

Five Stars

"Just dropping you a note to let you know that I am completely satisfied with the product. I had already taken the test once and landed in the 75 percentile of those taking it with me. I took the test a second time and used some of your tips and raised my score to the 97 percentile. Thanks for my much improved score."

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You get at least 10 times your money's worth!

When you consider what's at stake with the 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 Secrets of the FINRA Qualification Exams, it includes:

The 5 Secret Keys to FINRA Exam Success

  • Plan Big, Study Small
  • Make Your Studying Count
  • Practice the Right Way
  • Pace Yourself
  • Have a Plan for Guessing

The Comprehensive General Strategy Review

  • Read Carefully
  • Contextual Clues
  • Prefixes
  • Hedge Words
  • Switchback Words
  • Face Value
  • Answer Selection
  • Eliminate Answers
  • Avoid Fact Traps
  • Extreme Statements
  • Benchmark
  • Predict the Answer
  • Tough Questions
  • Check Your Work
  • Pace Yourself
  • Don’t Rush
  • Keep Moving

Click below to see just a small sampling of the topics covered by our study guides:

Series SIE - Security Industry Essentials Exam Topics

  • Regulatory Entities, Agencies and Market Participants
  • Market Structure
  • Economic Factors
  • Offerings
  • Equity Securities
  • Debt Instruments
  • Options
  • Packaged Products
  • Municipal Fund Securities
  • Direct Participation Programs
  • Real Estate Investment Trusts
  • Hedge Funds
  • Exchange-Traded Products
  • Investment Risks
  • Trading, Settlement and Corporate Actions
  • Customer Accounts and Compliance Considerations
  • Prohibited Activities
  • SRO Regulatory Requirements for Associated Persons
  • Employee Conduct and Reportable Events

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 26 - Investment Company and Variable Contracts Products Principal Qualification Topics

  • FINRA Central Registration Depository (CRD)
  • Securities Exchange Act of 1934
  • Statutory Disqualification
  • Person Associated With a Member
  • Disqualification
  • FINRA By-Laws
  • Resignation
  • Termination
  • Filing of a Complaint
  • Membership
  • Registration
  • Qualification
  • FINRA Rule 1230
  • Regulatory Element
  • Investment Advisers Act of 1940
  • Exempt From Registration
  • Offer to Sell
  • Dealer
  • Registration Statement
  • Issuer
  • Underwriter
  • Prospectus
  • Insurance Company
  • Separate Account
  • Investment Company Act of 1940
  • Advisory Board
  • Employee's Securities Company
  • Sales Load
  • Redeemable Security
  • Periodic Payment Plan Certificate
  • Issuer
  • 529 Plan
  • Roth IRA
  • Qualified Plan
  • Contribution Limits
  • Mandatory Distribution
  • Death Benefit
  • Beneficiary Elections
  • SIMPLE
  • KEOGH
  • Defined Contribution Retirement Plans
  • ERISA
  • Retirement Age
  • Vesting Provisions
  • Tax-Qualified Retirement Plans
  • Penalties
  • Employer-Sponsored Retirement Plan
  • Non-Qualified Plan
  • Annual Compliance Meeting
  • NASD Rule 3010

Series 27 - Financial and Operations Principal Qualification Topics

  • Anti-Money Laundering Requirement
  • Margin Call
  • Municipal Securities
  • Aggregate Indebtedness Standard
  • Debt-Equity Requirements
  • FOCUS Reports
  • Tentative Net Capital
  • Principal Regulator
  • Buyer’s Option
  • Prohibited Arrangements
  • Securities & Exchange Commission (SEC)
  • Public Offering
  • Underwriting Compensation
  • Nonmarketable Securities
  • Market Maker
  • Titling of Customer Accounts
  • Open-Ended Shares
  • Deferred Taxes
  • Offered Municipal Securities
  • Direct Participation Program (DPP)
  • Clearly Erroneous Transaction
  • Alternative Standard
  • Securities Haircut
  • Issuer
  • Free Credit Balance
  • Fidelity Bond
  • Minimum Net Capital Rule
  • Audited Customer Statements
  • Customer Complaints
  • Beneficial Owner
  • Employment Details
  • Listed Option
  • Ready Market
  • Broker - Dealer
  • Sole Proprietors
  • Hypothecation
  • Minimum Capital Requirement
  • Settlement of Contracts
  • Market Operations Review Committee (MORC)
  • SHORT System
  • Failed To Deliver
  • Securities Exchange Act
  • Insider Trading & Securities Act of 1988
  • Unsecured Receivables
  • Conflict Of Interest
  • Executive Representative
  • Stolen Securities
  • Reverse Repurchase Agreements
  • Unrealized Profit And Loss
  • Designation Date

Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Topics

  • Anti-Money Laundering Requirement
  • Margin Call
  • Municipal Securities
  • Aggregate Indebtedness Standard
  • Debt-Equity Requirements
  • FOCUS Reports
  • Tentative Net Capital
  • Principal Regulator
  • Buyer’s Option
  • Prohibited Arrangements
  • Securities & Exchange Commission (SEC)
  • Public Offering
  • Underwriting Compensation
  • Nonmarketable Securities
  • Market Maker
  • Titling of Customer Accounts
  • Open-Ended Shares
  • Deferred Taxes
  • Offered Municipal Securities
  • Direct Participation Program (DPP)
  • Clearly Erroneous Transaction
  • Alternative Standard
  • Securities Haircut
  • Issuer
  • Free Credit Balance
  • Fidelity Bond
  • Minimum Net Capital Rule
  • Audited Customer Statements
  • Customer Complaints
  • Beneficial Owner
  • Employment Details
  • Listed Option
  • Ready Market
  • Broker - Dealer
  • Sole Proprietors
  • Hypothecation
  • Minimum Capital Requirement
  • Settlement of Contracts
  • Market Operations Review Committee (MORC)
  • SHORT System
  • Failed To Deliver
  • Securities Exchange Act
  • Insider Trading & Securities Act of 1988
  • Unsecured Receivables
  • Conflict Of Interest
  • Executive Representative
  • Stolen Securities
  • Reverse Repurchase Agreements
  • Unrealized Profit And Loss
  • Designation Date

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 57 - Securities Trader Qualification Examination Topics

  • Market Maker
  • Qualified Block Positioner
  • MPID
  • SEA Rule 15c3-5
  • Financial Risk Management Controls
  • Erroneous Transaction
  • Market Operations Review Committee
  • Obvious Error
  • Catastrophic Error
  • Delivery Requirements
  • Accrued Interest Rules
  • Ex-Date
  • Regular Way
  • Seller’s Option
  • Buyer’s Option
  • Delayed Delivery
  • Discretionary Order
  • Financial Industry Regulatory Authority
  • FINRA's Fingerprinting Requirements
  • CHX Requirements
  • ISE Member Branch Office
  • ISE Rules
  • Compliance
  • NASDAQ
  • Equity Trading Permit (ETP) Holder
  • NYSE AMEX
  • Floor Broker
  • Proficiency Examination
  • Statutory Disqualification
  • Registered Broker
  • Dealer
  • Exchange
  • Regulatory Element
  • Commercial Honor
  • Gratuity
  • Unbundling Securities Orders
  • Market Maker

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 79 - Investment Banking Representative Qualification Examination Topics

  • Beneficial Owner
  • Securities & Exchange Commission
  • Pecuniary Interest
  • Prohibited Relationship
  • Trading Restrictions
  • Research Analysts
  • Income Statement
  • Cash Flow Statement
  • Liquidity
  • Debt-To-Equity
  • Payables Turnover
  • Ebitda
  • Operating Margin
  • Return on Investment
  • Total Expense Ratio
  • Cost of Capital
  • Price to Book Value
  • Dividend Yield
  • Market Capitalization
  • Beta
  • Money Market
  • Interbank Market
  • Depression
  • Microeconomics
  • Mid Cap
  • Coincident Indicator
  • Monetary Policy
  • Inflation
  • Deflation
  • Central Banks
  • Rights
  • Common Stock
  • Employee Stock Options
  • American Depositary Receipts
  • Debenture
  • Eurobond
  • Zero Coupon Rate Bond
  • Convexity
  • Current Yield
  • Municipal Bond
  • Broker–Dealer’s Responsibility
  • Financial Industry Regulatory Authority (FINRA)
  • Securities Act of 1933
  • National Association of Securities Dealers (NASD)
  • Anti-Money-Laundering
  • Representatives
  • Bankruptcy
  • Securities Act Rule 145
  • Hart-Scott-Rodino Act
  • Fairness Opinion

Series 86 and 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

Series 99 - Operations Professional Qualification Examination Topics

  • Self-Regulatory Organization
  • Regulatory Organization
  • Securities Markets
  • Unregistered Securities
  • Exemptions
  • Liquidation Priority
  • Federal Deposit Insurance Corporation (FDIC)
  • Equities
  • Debt Securities
  • Fixed-Income Securities
  • Derivatives
  • Open-Ended Mutual Funds
  • Variable Annuities
  • Real Estate Investment Trusts
  • Registered Investment Advisor
  • Commissions
  • Client Statement
  • Firm’s General Ledger
  • Net Capital
  • Prime Brokers
  • Clearing Facility
  • Soft Dollars
  • Single-Owner Retail
  • Partnership Accounts
  • Prime Brokerage Accounts
  • Individual Retirement Accounts
  • Roth IRAS
  • Keogh Plans (HR-10)
  • Erisa
  • Standing Settlement Instructions
  • Money Laundering
  • Customer Information Program
  • OFAC
  • Medallion Signature Guarantee Program
  • Residual Credit Process
  • Negotiable Checks
  • Check Blotters
  • Check Fraud
  • Kiting
  • Held In Street Name
  • Marginable
  • Short Sales
  • Day Trading In Margin Accounts
  • Regular Way Settlement
  • Cost Basis
  • Capital Gains
  • Falsification
  • Forms U-4 and U-5
  • Gifting
  • Business Continuity Plans

plus all of the other special tips and secrets we have included to help you prepare for the exam.

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By Jay Willis
This Page Last Updated: 03/22/2024