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Series 65 and Series 66 Exam: Offer and Sale Jurisdiction

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State Jurisdiction Explained | Series 63, Series 65 & Series 66 Exam Prep

When does a state have jurisdiction over a securities transaction? Does it matter where the customer lives, where the agent is located, or where an offer is accepted?


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Series 7 Exam Prep: All About Order Types

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the mechanics of secondary market trading, outlining how order tickets transition from entry and execution to clearing. Broker-dealers operate either as brokers earning commissions or as dealers/market makers profiting from spre...


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FORM ADV:Series 65 and Series 66 Exam

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Form ADV serves as the primary registration document utilized by investment advisors, structured into three distinct parts alongside specific schedules to inform both regulators and clients. Part 1 focuses on regulatory data, wh...


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SIE Exam BEATS: Preferred Stock

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Preferred stock shows up all over the Series 7, and it can feel more complicated than it really is.

In this episode, we make it smaller.

We cover the preferred stock concepts you need to know for the exam, including:

• Preferred st...


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SIE Exam Beat: Bonds( Debt)

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Bond Fundamentals — learn it while you move.

Bonds show up everywhere on the SIE and Series 7, and memorizing a couple of definitions isn't enough. In this episode of SIE Exam Beats, we're going deep on the bond concepts you actu...


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