Regulatory Compliance E-newsletter – July / August 2018

Feature of the Month OCIE issues Risk Alert on Best Execution On July 11, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert (“Risk Alert”) for compliance issues related to the obligation to seek best execution imposed upon investment advisers (“advisers”) granted the responsibility for selecting broker dealers […]
Find out more
July 30 2018 - NRS Insights

BDs to Benefit from FINRA360 Changes to Enforcement and Exam Process

As part of its continuing efforts to review and revamp the organization (i.e. FINRA360), FINRA has consolidated its enforcement units in order to streamline investigations, improve consistency and transparency and, ultimately, improve relationships with member firms.
Find out more
Focused businessman taking notes in meeting
Product

FIRE Drill Quiz App

As a study aid complimenting NRS FIRE’s Series Exam prep, the FIRE Drill App lets you study for your Series certifications anytime, anywhere. Consisting of hundreds of questions, users can choose how many questions they would like to have in each test, and the system provides an interactive quiz experience with immediate feedback on the […]
Find out more
Teacher grading homework in classroom
Product

Mastery Exams for FINRA Series 6, 7, 9, 63, 65 and 66

NRS FIRE Mastery Exams for Series 6, 7, 9, 63, 65 and 66 are designed to test your overall mastery of the concepts tested on securities exams. Closely replicating the actual exam experience in terms of content, format, requirements and difficulty, passing our mastery exams provides students with a true gauge on their preparedness. NRS […]
Find out more
Cape Town, South Africa, colleagues together in office
Product

Series 7 and 66 Exam Prep

NRS FIRE’s Series 7 and 66 Exam prep bundle provides students with the knowledge they need to prepare for their exams and pass successfully. Backed by FIRE’s exclusive “Green Light” plan, the exam prep bundle allows students to gauge their readiness to move forward, and build confidence in their knowledge and expertise. Students achieving a […]
Find out more
Product

Series 66 Exam Prep

Consisting of 100 questions to be answered in 150 minutes, the Series 66 exam is one of FINRA’s most challenging tests. Although the amount of material is less than most of the other exams, you need to know the material thoroughly. The exam tests very specific elements of content, and often, questions will appear to […]
Find out more
Student smiling
Product

Series 65 Exam Prep

Targeted at Investment Advisers who have not taken the Series 7, the series 65 exam consists of 140 questions, all to be completed within 180 minutes. The exam consists of material from the Series 66 and product information from the Series 7, in addition to portfolio management, ethics, client profiles, and risk evaluation. Specific subjects […]
Find out more
Smiling senior woman using digital tablet in classroom
Product

Series 63 Exam Prep

The Series 63 exam covers definitions of securities transactions, fraudulent and prohibited activities, ethics, and registration roles. A Series 63 license allows professionals to sell in any state, provided the individual also has either a Series 6 or a Series 7 license. Many states (but not all) require this exam. An employee should not take […]
Find out more
Students studying in adult education classroom
Product

Series 24 Exam Prep

Consisting of 150 questions to be answered in 210 minutes, the Series 24 exam is aimed at professionals who plan to be managers or principals. Specific questions include but are not limited to: Supervision of Investment Banking, Underwriting Activities and Research Supervision of Trading and Market Making Activities Supervision of Brokerage Office Operations Sales Supervision, […]
Find out more
Focused businessman taking notes in meeting
Product

Series 10 Exam Prep

The Series 10 Exam is intended to test a candidates knowledge securities industry rules and certain statutory provisions applicable to the supervision of sales activities at a branch office. A candidate for this examination must satisfy the prerequisite that normally is registration as a general securities representative. Consisting of 150 questions to be taken over […]
Find out more