Mometrix Test Preparation - 3827 Phelan #179 - Beaumont, TX 77707

FINRA Exam Secrets Study Guide


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 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 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 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 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 30 - Branch Manager Examination - Futures
  • Series 57 - Securities Trader Qualification Examination
  • 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 79 -Investment Banking Representative Qualification Examination
  • Series 86 & 87 - Research Analyst Examination
  • Series 99 - Operations Professional Qualification Examination

Now, we know you may be skeptical, so let us give you three good reasons we can back up what we claim:

The Three Reasons To Believe What We Say

The First Reason:

Our company's name is Mometrix Test Preparation, and we have a team of standardized test researchers who have worked on developing our study guide for the FINRA exams. The standards for who gets to work on the team are very strict- we demand the best for our customers, and only those who met our exacting standards made the cut. The dedicated research staff have years of combined experience in mastering the content and skills necessary to succeed on the toughest exams.

The Second Reason:

Some academic studies have revealed that test takers do not really benefit from the traditional test preparation process. 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 the exams. What we found was surprising, and in some cases ridiculously simple once explained to the average test taker.

We put the 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.

The Third Reason:

We created the 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 the material that will be covered on the exam.

One reason some test takers do well on the day of the test is that they have made the critical connection between the material they learned and how to use the material to succeed on the 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 the bad strategies that you've been vulnerable to. Just for starters, here are some ways our products can help your FINRA exam score...

The Exclusive Test Taking Techniques

  • Keys to questions that "give away" the wrong (or right) answers- You get credit for some of the questions without really even knowing anything about them
  • Get quick, customized help for the questions you have about how to use our materials- just send us a quick email and we'll get back to you promptly with the 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 the precious study time you have 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 the information you'll need to perform under pressure during the test.
  • A systematic analysis and the best breakdown into "plain language" of how to deconstruct and master the toughest problems- You turn the problems that most of the test takers will stumble over to your advantage
  • 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
  • Includes instructions detailing the best way for you to get started with your preparation efforts so you can begin the path of improving your scores immediately
  • The 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 test 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- the help you need is just a short email away and our representatives are active 7 days a week helping customers
  • The research of our team of test experts is 100% independent and original
  • Our exclusive "calibration strategy" to help you never go too fast OR too slow when answering even the toughest questions
  • The 5-step process we've developed, what we call the "phased" approach, concerning the use of the various study aids and practice tests
  • How the problem of procrastination can kill your chance of success, and the most important thing you can do about it
  • How to know when you've studied as much as you need to for the exam- and the reason why we think some people should spend LESS time studying for the test
  • The Top 20 things you should take care of within 24 hours of taking the test- use the list we provide 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 the wrong answers from "polluting" your mind and tempting you into a trap designed by the test writers
  • 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
  • How some of the random bits of information in a question often "give away" the right answer choice
  • How to "milk the question" for clues to the right answer even if you have no idea what the question 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 the "lifeline" you need to minimize the time wasted on the test questions that leave you stumped
  • 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
  • How to use our brainstorming method to get "inside the question" and reveal the hard-to-find clues and some of the subtle things you didn't realize you knew
  • Do you know what a "hedge phrase" is? Learn why looking for the key "weasel words" in the question can help identify the correct answer
  • Why "new information" in the answer choices almost always means that the answer choice is wrong- and the way to avoid this trick planted by the clever test writers
  • Learn to avoid this time-draining mistake on the test - why the technical terms you don't know can be a major stumbling block and waste precious time, and the way that you can work around them
  • The secret to using the contextual clues in the questions and the answer choices to make important distinctions between the right and the wrong answer choices
  • The two situations where you should NOT check your answers thoroughly
  • How to avoid careless mistakes by using the quick "double check" system. It 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 the answer choices are dead giveaways for wrong answers- find out how to detect the subtle differences between reasonable answers and the answers 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 of the answer choices and increase your odds of getting the question right

Now, you're probably wondering how and why we can do all the things we claim.

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 in the past.

FINRA Exam Secrets 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 5 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.

I purchased the 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: The guide 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: The guide must be written in easy-to-use everyday language so all test takers can access the information.

Three: The guide must be to-the-point, with no fluff to distract the test taker from the truly important information.

Four: The guide 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 the way you perform on the test. You want a study guide to close that gap.

Five: The guide must motivate the test taker to actually study for the exam. If the guide is hard to read, the time spent studying will be slow and painful, and the results will be meager.

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 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 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

The 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 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
  • Employees’ 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 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 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 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

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By Jay Willis
This Page Last Updated: 09/21/2017