The Series 9 and 10 exams are crucial qualifications in the field of securities management. These exams are designed by the Financial Industry Regulatory Authority (FINRA) to assess the competency of individuals aiming to become principals or managers in the securities industry. This post will offer a comprehensive overview of the Series 9 and 10 …
Considering the Series 63 vs Series 65 vs 66 exams? This post has everything you need to help you make a decision, including content differences, career paths, and how to prepare.
In this post, we walk you through the FINRA SIE vs. Series 7 exams, including their similarities, differences, sample questions, and tips for success.
A complete walkthrough of how to get sponsorship for Series 7 licensing, including what sponsorship means, how to apply, Form U4, and what to do if you can’t get sponsored.
We discuss cash dividends paid on common stock investments and related dates. Additionally, we analyze a practice question that could be similar to an actual test question on this topic. This is one of many videos available on the Achievable platform – links to our learning program are above!
What’s the value of your put options? In this episode, we explain the concept of intrinsic value as it applies to options, and then show examples of how to calculate it for put options specifically. Then, we walk you through a practice question from Achievable’s FINRA courses that may be similar to an actual FINRA test question on this topic.
Form ADV Part 2B is a key form that investment advisers use to make disclosures to government agencies. It can be hard to fully appreciate Form ADV Part 2B without context, so in this video, we walk you through a real world example of Form ADV Part 2B. This should help you in preparing for the Series 63, 65, and 66 exams.
The investment adviser disclosure Form ADV Part 2A is one of the key things IA compliance needs to manage and is tested on the NASAA Series 63, 65, and 66 exams. In this video, we walk through a real world example to help you understand the form and how it can show up on the exams.
What is an investment adviser? We go through the legal definition thoroughly and then analyze a practice question to show how it shows up on the FINRA exams, especially the Series 63, 65, and 66.
The criteria and process for becoming a federal covered adviser registered with the SEC are tested on the Series 63, 65, and 66 exams. In this video, Brandon walks you through the requirements for being federal covered, how you can lose that status, and other things you’ll see on these tests.
Choosing between the Series 6 or Series 7 exam? This post has everything you need to know, including content, key states, differences, difficulty, pass rates, and how to study.
We teach you how to use options income strategies, notably covered calls and covered puts, as part of your trading repertoire. These strategies are useful for retail traders with options experience, and also tested on the FINRA SIE and FINRA Series 4, Series 7, and Series 9; plus the NASAA Series 65 and Series 66 exams.
In this video, Achievable author Brandon Rith explains how to find the parity price in a convertible preferred stock question that you will likely see on the FINRA SIE or FINRA Series 7 exams.
Interested in working at a top financial firm like Goldman Sachs or Fidelity Investments? We cover job search best practices before digging into the hiring process of Fortune 500 financial firms. Brandon Rith, formerly at Fidelity for over a decade, gives you an inside look at what these firms are looking for and how to maximize your chances for an offer.
Take unlimited, full mock SIE practice exams that give you the real questions and timed experience you can expect when taking the real FINRA SIE.
