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

FINRA Exam Flashcard Study System


FINRA Exam Flashcard Study System

Learn How to Quickly Solve Difficult
FINRA Exam Questions

Dear Friend,

Here's a little secret about FINRA Series Examinations: FINRA exams are what we in the test preparation field call content-driven. tests.

While some tests are looking to see what you are ABLE to learn, the purpose of a FINRA administered qualification examination, offered by the Financial Industry Regulatory Authority (FINRA), is to test your understanding of what you have already learned. The goal of a FINRA Series Exam is to use a standardized testing process to create an objective assessment of a test taker's knowledge and skills.

In other words, it's more about what you know than your ability to solve clever puzzles. This is good news for those who are serious about being prepared, because it boils down to a very simple strategy:

You can succeed on your FINRA exam by learning critical concepts on the test so that you are prepared for as many questions as possible.

Repetition and thorough preparation is a process that rewards those who are serious about being prepared, which means that succeeding on a FINRA exam is within the reach of virtually anyone interested in learning the material.

This is great news! It means that if you've been worried about your upcoming FINRA exam, you can rest easy IF you have a good strategy for knowing what to study and how to effectively use repetition to your advantage.

But it also creates another set of problems.

If you tried to memorize every single possible thing you can for your FINRA exam, the field of possible things to review would be so huge that you could not hope to cover everything in a reasonable time.

That's why we created the FINRA Exam Flashcard Study System: we have taken all of the possible topics and reduced them down to the hundreds of concepts you must know and provided an easy-to-use learning method to guarantee success on your FINRA exam.

We wanted this system to be simple, effective, and fast so that you can succeed on your FINRA exam with a minimum amount of time spent preparing for it.

Our flashcards 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 30 - Branch Manager Examination - Futures
  • Series 55 - Equity Trader Qualification Examination
  • Series 56 - Proprietary Trader 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 87 - Research Analyst Examination
  • Series 99 - Operations Professional Qualification Examination

Here Are Some of the Features of Our
FINRA Exam Flashcard Study System

  • Study after study has shown that repetition is the most effective form of learning, and nothing beats flashcards when it comes to making repetitive learning fun and fast
  • Flashcards engage more of your senses in the learning process; you compete with yourself to see if you understand the topics, and the flipping action gets you actively involved in the learning process
  • Our cards are printed on heavy, bright white 67 lb. cover stock, and are laser printed at 1200 dpi on our industrial printers; these are professional-quality cards that will not smear or wear out with heavy usage
  • We cover all the major content areas on the exam
  • Our flashcards include an edge that is micro-perforated, which means that you are much less likely to have a painful papercut on your fingers when moving quickly through the cards
  • Our cards are portable, making it easy for you to grab a few and study while waiting for the bus or the doctor, or anywhere where you have a spare moment that would otherwise be wasted
  • Our cards are written in an easy to understand, straightforward style; we don't include any more technical jargon than what you need to pass the test
  • The cards are a generous size, 3.67 x 4.25 inches, that fits perfectly in your hands and they aren't so small that you have to use a magnifying glass to read tiny type; all questions and answers are in a normal-size print for easy studying
  • Our concept cards include in-depth explanations; you won't see any one-word answers that require you to go get a textbook to figure out what's going on. All of our cards include generous, thorough explanations so if you didn't understand the concept, you will after reading the back of the card!
  • We use a font that's been proven to be very readable; this will enable you to absorb more information painlessly during late night study sessions
  • Our system enables you to study in small, digestible bits of information; unlike using boring textbooks, flashcards turn learning into a game you can play until you've mastered the material
  • It's easy for a friend to help you study. They don't even have to know anything about your FINRA exam; if they can read, then they can quiz you with our flashcards!

Now, let us explain what the FINRA Exam Flashcard Study System is not. It is not a comprehensive review of your education, as there's no way we could fit that onto a single set of flashcards.

Don't get us wrong: we're not saying that memorization alone will automatically result in a passing FINRA exam score- you have to have the ability to apply it as well. However, without the foundation of the core concepts, you cannot possibly hope to apply the information. After all, you can't apply what you don't know.

FINRA Exam Flashcard Study System is a compilation of the hundreds of critical concepts you must understand to pass your FINRA exam. Nothing more, nothing less.

Here's Exactly What You Get With the
FINRA Exam Flashcard Study System

When you order the FINRA Exam Flashcard Study System, you'll get our set of flashcards specially selected to give you the most FINRA exam performance improvement for the least time.

Click below to see just a small sampling of the topics covered by our flashcards:

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 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 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 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 55 - Equity 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
  • Limit Order
  • Reserve Order
  • Pegged Order
  • Intermarket Sweep Order
  • Price to Comply Order
  • Directed Order
  • Unpriced Order
  • Collared Order
  • Supplemental Order
  • Normal Unit of Trading
  • Odd-Lot
  • SHEX
  • Order Imbalance Indicator
  • NASDAQ Opening/Closing Process
  • System Order
  • Anti-Internalization
  • System Routing Options
  • Crossing Quotations
  • NMS Stocks
  • Third Party Agent
  • Two-Sided Quote Obligation
  • Alternative Trading System
  • Sale of Securities
  • Insider Trading & Securities Act of 1988
  • FINRA Rule
  • Book-Running Lead Manager
  • Stabilizing Bid
  • Bona Fide Purchase
  • Securities Act Rule 144A
  • Safe Harbor Provisions
  • Penny Stock
  • Inside Bid Quotation

Series 56 - Proprietary Trader Examination Topics

  • 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
  • Permit Holder
  • Loss
  • Investigation
  • Violations
  • Disciplinary Proceeding
  • Summary Proceedings
  • Sanctions
  • Hearing Procedure
  • Central Registration Depository (CRD)
  • Penalties
  • Letter of Consent
  • Settlement
  • Charge Memorandum
  • Answer
  • Arbitration
  • Retention
  • Testimony
  • Records Maintenance
  • Identification Data
  • Ledgers
  • Assets and Liabilities
  • Fingerprint Records
  • Termination of Membership
  • Audit Objectives
  • Audited Financial Statements
  • Statutory Disqualification
  • Investment Management Companies
  • Depository Trust and Clearing Corporation (DTCC)
  • Trading Permit Holder
  • Securities Exchange Act Of 1934

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 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
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  • 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

Remember, this is just a small sampling of the topics covered in our system. Overall, you get our premium-quality flashcards covering everything you'll need to succeed on your FINRA exam.

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Here's How to Order Your Copy of the
FINRA Exam Flashcard Study System

The FINRA Exam Flashcard Study System is only available at this web page. Your copy will typically ship within one business day from our shipping facility. These packages retail for $62.99 or more, but are available today starting at only $39.99. It's easy to get your flashcards; just click the link below: Pay with PayPal, American Express, Discover, MasterCard, or Visa!

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If you have any problems or questions, please send an email to and we will usually get back to you within 24 hours.

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By Peter Rench
This Page Last Updated: 11/14/2014