<![CDATA[Securities Exam Prep — Every Exam Prep]]>bf8b7fe0-9339-50e2-bb07-fc17a9cf84edWed, 14 Oct 2026 13:00:24 +0000Captivate.fmVincent Ruanhttps://artwork.captivate.fm/7c9bf6ef-ab27-4386-831b-e57dbff7d6ee/cover-securities-3000.pngSecurities Exam Prep — Every Exam PrepVincent RuanVincent RuanShort, practical episodes for anyone studying for a FINRA, NASAA, MSRB or NFA securities exam: the SIE, Series 7, 6, 63, 65, 66, 24, 79, 3, 52 and the rest. Every figure — question counts, pass marks, fees, retake rules — comes from the regulator's own documents. Free practice tests, study guides and cheat sheets for every exam at everyexamprep.com.https://www.everyexamprep.com/domains/securities-finrafalseepisodicnopodcastSeries 24: 150 Questions, 225 Minutes, and the 120-Day WindowSeries 24: 150 Questions, 225 Minutes, and the 120-Day WindowThe General Securities Principal exam: 150 multiple-choice items, 3 hours and 45 minutes, a 70 percent pass mark, the $235 fee, the SIE and a representative exam as prerequisites, sponsorship by Form U4 with no self-enrollment, function two's 45 items on supervising broker-dealer activities and function three's 32 on customer-related activities, the 120-day scheduling window, the 10-business-day cancellation rule, and the no-show fee equal to the exam.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The General Securities Principal exam: 150 multiple-choice items, 3 hours and 45 minutes, a 70 percent pass mark, the $235 fee, the SIE and a representative exam as prerequisites, sponsorship by Form U4 with no self-enrollment, function two's 45 items on supervising broker-dealer activities and function three's 32 on customer-related activities, the 120-day scheduling window, the 10-business-day cancellation rule, and the no-show fee equal to the exam.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>0e22b28f-9dc8-4ac8-81ed-30509200c3efWed, 14 Oct 2026 09:00:00 -040003:49falsefull114141The General Securities Principal exam: 150 multiple-choice items, 3 hours and 45 minutes, a 70 percent pass mark, the $235 fee, the SIE and a representative exam as prerequisites, sponsorship by Form U4 with no self-enrollment, function two's 45 items on supervising broker-dealer activities and function three's 32 on customer-related activities, the 120-day scheduling window, the 10-business-day cancellation rule, and the no-show fee equal to the exam.Series 66: 100 Questions, 73 to Pass, and the Series 7 Inside ItSeries 66: 100 Questions, 73 to Pass, and the Series 7 Inside ItThe Uniform Combined State Law Exam: 100 scored questions with at least 73 correct to pass, 150 minutes, the $177 fee, NASAA content administered by FINRA, the rule that passing it counts as passing both the 63 and the 65, the Series 7 requirement to register as an investment adviser representative through it, the 30-minute appointment buffer, and the Regulatory and Firm Element continuing education that follows.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The Uniform Combined State Law Exam: 100 scored questions with at least 73 correct to pass, 150 minutes, the $177 fee, NASAA content administered by FINRA, the rule that passing it counts as passing both the 63 and the 65, the Series 7 requirement to register as an investment adviser representative through it, the 30-minute appointment buffer, and the Regulatory and Firm Element continuing education that follows.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>c0ae3c66-0c02-47d0-858e-fcb170b6cd78Mon, 12 Oct 2026 09:00:00 -040003:24falsefull113131The Uniform Combined State Law Exam: 100 scored questions with at least 73 correct to pass, 150 minutes, the $177 fee, NASAA content administered by FINRA, the rule that passing it counts as passing both the 63 and the 65, the Series 7 requirement to register as an investment adviser representative through it, the 30-minute appointment buffer, and the Regulatory and Firm Element continuing education that follows.Series 65: 130 Scored Questions, 92 to Pass, No PrerequisiteSeries 65: 130 Scored Questions, 92 to Pass, No PrerequisiteThe Uniform Investment Adviser Law Exam: 130 scored questions plus 10 pretest, at least 92 correct to pass, 180 minutes, the $187 fee, no prerequisite or corequisite exam and no sponsoring firm, test-center delivery, NASAA's 30-day and 180-day retake waits with the 60-day change on January 4, 2027, and the 12 annual continuing education credits an investment adviser representative completes afterwards.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The Uniform Investment Adviser Law Exam: 130 scored questions plus 10 pretest, at least 92 correct to pass, 180 minutes, the $187 fee, no prerequisite or corequisite exam and no sponsoring firm, test-center delivery, NASAA's 30-day and 180-day retake waits with the 60-day change on January 4, 2027, and the 12 annual continuing education credits an investment adviser representative completes afterwards.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>21852989-d454-4983-9f13-267634bac07aFri, 09 Oct 2026 09:00:00 -040004:00falsefull112121The Uniform Investment Adviser Law Exam: 130 scored questions plus 10 pretest, at least 92 correct to pass, 180 minutes, the $187 fee, no prerequisite or corequisite exam and no sponsoring firm, test-center delivery, NASAA's 30-day and 180-day retake waits with the 60-day change on January 4, 2027, and the 12 annual continuing education credits an investment adviser representative completes afterwards.Series 63: 60 Scored Questions, 43 to Pass, 75 MinutesSeries 63: 60 Scored Questions, 43 to Pass, 75 MinutesThe Uniform Securities Agent State Law Exam from NASAA and FINRA: 65 questions of which 60 are scored, 43 correct to pass, 75 minutes, the $147 fee, the Uniform Securities Act of 1956 as its subject, test-center-only delivery since April 1, 2022, the 120-day window, and how it sits beside the Series 65 and 66.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The Uniform Securities Agent State Law Exam from NASAA and FINRA: 65 questions of which 60 are scored, 43 correct to pass, 75 minutes, the $147 fee, the Uniform Securities Act of 1956 as its subject, test-center-only delivery since April 1, 2022, the 120-day window, and how it sits beside the Series 65 and 66.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>97b01f90-8bd0-4b61-b898-2938e604c11eWed, 07 Oct 2026 09:00:00 -040003:44falsefull111111The Uniform Securities Agent State Law Exam from NASAA and FINRA: 65 questions of which 60 are scored, 43 correct to pass, 75 minutes, the $147 fee, the Uniform Securities Act of 1956 as its subject, test-center-only delivery since April 1, 2022, the 120-day window, and how it sits beside the Series 65 and 66.Exam Day and the Pass-Rate TruthExam Day and the Pass-Rate TruthWhat FINRA, NASAA, the MSRB and the NFA actually publish about passing, what they don't, and the rules that cost candidates attempts: testing windows, cancellation fees, retake waits, ID rules, validity periods and continuing education.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>What FINRA, NASAA, the MSRB and the NFA actually publish about passing, what they don't, and the rules that cost candidates attempts: testing windows, cancellation fees, retake waits, ID rules, validity periods and continuing education.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>f9e8baff-4648-4981-92da-807ad62c473eTue, 06 Oct 2026 09:00:00 -040005:03falsefull110101What FINRA, NASAA, the MSRB and the NFA actually publish about passing, what they don't, and the rules that cost candidates attempts: testing windows, cancellation fees, retake waits, ID rules, validity periods and continuing education.Back Office and Compliance: Series 27, 28, 99, 57 and 14Back Office and Compliance: Series 27, 28, 99, 57 and 14The exams behind the trading floor: the 145-question Series 27 and the net capital rule, the Series 28 for introducing broker-dealers, the Series 99 operations professional exam with its 68% pass mark, the Series 57 trader exam, and the Series 14 compliance officer exam and its alternative path.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The exams behind the trading floor: the 145-question Series 27 and the net capital rule, the Series 28 for introducing broker-dealers, the Series 99 operations professional exam with its 68% pass mark, the Series 57 trader exam, and the Series 14 compliance officer exam and its alternative path.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>4b6a909e-73fa-4bd3-ad68-1779379c0500Thu, 01 Oct 2026 09:00:00 -040005:07falsefull1991The exams behind the trading floor: the 145-question Series 27 and the net capital rule, the Series 28 for introducing broker-dealers, the Series 99 operations professional exam with its 68% pass mark, the Series 57 trader exam, and the Series 14 compliance officer exam and its alternative path.The MSRB Exams: Series 52, 53, 50, 54 and 51The MSRB Exams: Series 52, 53, 50, 54 and 51The Municipal Securities Rulemaking Board's qualification exams: the 75-question Series 52 and its 60% municipal-securities weighting, the Series 53 principal exam, the Series 50 and 54 for municipal advisors, the Series 51 for municipal fund securities, and the MSRB's 30- and 180-day retake rule.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The Municipal Securities Rulemaking Board's qualification exams: the 75-question Series 52 and its 60% municipal-securities weighting, the Series 53 principal exam, the Series 50 and 54 for municipal advisors, the Series 51 for municipal fund securities, and the MSRB's 30- and 180-day retake rule.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>0d4be02a-98dd-4a86-ab52-4d79a3cc58c2Tue, 29 Sep 2026 09:00:00 -040005:26falsefull1881The Municipal Securities Rulemaking Board's qualification exams: the 75-question Series 52 and its 60% municipal-securities weighting, the Series 53 principal exam, the Series 50 and 54 for municipal advisors, the Series 51 for municipal fund securities, and the MSRB's 30- and 180-day retake rule.The Futures Family: Series 3, 30, 31, 32 and 34The Futures Family: Series 3, 30, 31, 32 and 34The NFA's exams, administered by FINRA: the two-part Series 3 with its 70%-per-part rule, the $85 associated person application, the Series 30 branch manager exam, the Series 31 for commodity pools, the Series 32 for UK and Canadian registrants, and the Series 34 for retail forex.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The NFA's exams, administered by FINRA: the two-part Series 3 with its 70%-per-part rule, the $85 associated person application, the Series 30 branch manager exam, the Series 31 for commodity pools, the Series 32 for UK and Canadian registrants, and the Series 34 for retail forex.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>e50e5534-cdff-4f19-93a2-2ec46b21a55fThu, 24 Sep 2026 09:00:00 -040005:30falsefull1771The NFA's exams, administered by FINRA: the two-part Series 3 with its 70%-per-part rule, the $85 associated person application, the Series 30 branch manager exam, the Series 31 for commodity pools, the Series 32 for UK and Canadian registrants, and the Series 34 for retail forex.Series 79: The Investment Banking Exam and What the Job PaysSeries 79: The Investment Banking Exam and What the Job PaysThe Investment Banking Representative exam under FINRA Rule 1220(b)(5): 75 scored questions plus 10 pretest, 150 minutes, a 73% pass mark, a $395 fee, the function that carries 49% of the exam, and Bureau of Labor Statistics wage data for the role.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The Investment Banking Representative exam under FINRA Rule 1220(b)(5): 75 scored questions plus 10 pretest, 150 minutes, a 73% pass mark, a $395 fee, the function that carries 49% of the exam, and Bureau of Labor Statistics wage data for the role.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>2f056501-6898-4738-b0c0-22d71f05a331Tue, 22 Sep 2026 09:00:00 -040004:47falsefull1661The Investment Banking Representative exam under FINRA Rule 1220(b)(5): 75 scored questions plus 10 pretest, 150 minutes, a 73% pass mark, a $395 fee, the function that carries 49% of the exam, and Bureau of Labor Statistics wage data for the role.The Principal Ladder: Series 24, 26, 9/10, 23 and 4The Principal Ladder: Series 24, 26, 9/10, 23 and 4What supervisors sit after the Series 7: the 150-question Series 24, the 110-question Series 26, the two-part Series 9/10, the Series 23 module, and the Series 4 for options principals — with fees, pass marks, corequisites and FINRA's retake waits.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>What supervisors sit after the Series 7: the 150-question Series 24, the 110-question Series 26, the two-part Series 9/10, the Series 23 module, and the Series 4 for options principals — with fees, pass marks, corequisites and FINRA's retake waits.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>a7b8ee7c-c32d-4dfa-b8ad-b5ddc6825534Thu, 17 Sep 2026 09:00:00 -040005:27falsefull1551What supervisors sit after the Series 7: the 150-question Series 24, the 110-question Series 26, the two-part Series 9/10, the Series 23 module, and the Series 4 for options principals — with fees, pass marks, corequisites and FINRA's retake waits.Series 6: The 50-Question License, and When Limited Is EnoughSeries 6: The 50-Question License, and When Limited Is EnoughThe Investment Company and Variable Contracts Products Representative exam: what it lets you sell, its 50 scored questions and 90-minute clock, the $100 fee, how it compares to the Series 7, and the requalification rules if you leave the industry.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The Investment Company and Variable Contracts Products Representative exam: what it lets you sell, its 50 scored questions and 90-minute clock, the $100 fee, how it compares to the Series 7, and the requalification rules if you leave the industry.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>633bfe1e-b5b0-4856-a291-95142f12066cTue, 15 Sep 2026 09:00:00 -040004:19falsefull1441The Investment Company and Variable Contracts Products Representative exam: what it lets you sell, its 50 scored questions and 90-minute clock, the $100 fee, how it compares to the Series 7, and the requalification rules if you leave the industry.Series 63 vs 65 vs 66: Which State Law Exam You Actually NeedSeries 63 vs 65 vs 66: Which State Law Exam You Actually NeedNASAA's three state-law exams side by side: question counts, the 43-of-60 and 92-of-130 pass rules, fees, time limits, the end of online testing, retake waits, and the Series 7 requirement hiding inside the Series 66.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>NASAA's three state-law exams side by side: question counts, the 43-of-60 and 92-of-130 pass rules, fees, time limits, the end of online testing, retake waits, and the Series 7 requirement hiding inside the Series 66.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>524e0c44-0f4c-4efa-8acc-966879df5a3dWed, 09 Sep 2026 10:33:42 -040005:05falsefull1331NASAA's three state-law exams side by side: question counts, the 43-of-60 and 92-of-130 pass rules, fees, time limits, the end of online testing, retake waits, and the Series 7 requirement hiding inside the Series 66.Series 7: 125 Scored Questions, 225 Minutes, and What Equating Means for Your ScoreSeries 7: 125 Scored Questions, 225 Minutes, and What Equating Means for Your ScoreThe General Securities Representative exam explained from FINRA's own documents: the sponsorship rule, the SIE corequisite, the four job functions, the $395 fee, the 72% pass mark, and why a raw percentage is not what you are scored on.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>The General Securities Representative exam explained from FINRA's own documents: the sponsorship rule, the SIE corequisite, the four job functions, the $395 fee, the 72% pass mark, and why a raw percentage is not what you are scored on.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>4b6340d2-855a-4b21-9716-954d7026753aWed, 09 Sep 2026 10:33:42 -040005:11falsefull1221The General Securities Representative exam explained from FINRA's own documents: the sponsorship rule, the SIE corequisite, the four job functions, the $395 fee, the 72% pass mark, and why a raw percentage is not what you are scored on.The SIE: The Front Door to Every FINRA LicenseThe SIE: The Front Door to Every FINRA LicenseWhat the Securities Industry Essentials exam is, why anyone 18 or older can take it without a firm, how its 75 scored questions are split across four content areas, what it costs in 2026, and what the pass rate FINRA published actually says.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>What the Securities Industry Essentials exam is, why anyone 18 or older can take it without a firm, how its 75 scored questions are split across four content areas, what it costs in 2026, and what the pass rate FINRA published actually says.

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Securities Exam Prep — Every Exam Prep is produced by Every Exam Prep. Everything we publish is grounded in official exam-provider sources. This episode is for educational purposes only and is not investment, legal, or financial advice.

]]>580442ce-9e0b-4820-88c9-e20d08ee8b80Wed, 09 Sep 2026 10:33:42 -040005:17falsefull1111What the Securities Industry Essentials exam is, why anyone 18 or older can take it without a firm, how its 75 scored questions are split across four content areas, what it costs in 2026, and what the pass rate FINRA published actually says.