FINRA Securities Licensing Exam Study

Keir Educational Resources is dedicated to providing outstanding study material for virtually every securities licensing exam.  Our educational  study material provided in partnership with PassPerfect Associates®, includes the popular web based Smart programs, printed materials, online question banks and review classes.
  • Materials are written by experienced professionals who are recognized experts in the securities industry.
  • Taking Series 6, 7, 63, 65 or 66?  The web based Smart program is predictive within 5 points of what a student will score on the national exam.  We guarantee it.  
  • Managers – ask us how you can track the progress of your recruits.
The best securities study materials in the industry!  

In late 2016 the Series 6 and 7 exams will be changing to two part exams - the Securities Industry Essentials (SIE) exam and "top off" exams. For more information about these changes click here

FINRA Revises Series 9/10 Study Outline - Revised Test Effective March 7, 2016

FINRA has filed a revised study outline with the SEC for the Series 9/10 General Sales Supervisor exam, with a proposed effective date of March 7, 2016. The examination remains at 55 questions for the Series 9; and 145 questions for the Series 10. The passing grade remains at 70% for each exam section. Similar to what FINRA did with the Series 7 study outline 3 years ago, the exam is now broken down into "major functional areas" of a branch manager's responsibilities. There are slight adjustments to the number of questions in each area covered, but there appears to be no major change to the overall content itself, other than updating the exam for the most recent rules and regulations, such as FINRA's Retail Communications rule and the MSRB's Time of Trade Disclosure rule.

Because PassPerfect updates its materials for rule changes as they occur, all of these revised rules are reflected in our current material. We anticipate no change to our content. FINRA states that the question writing style will give more emphasis to situational questions. These "judgmental" questions that are in "shades of gray" have been a fixture of the FINRA managers' exams for years, and many examples of this style of question are reflected in our sample exams (and students complain the most about these types of questions because there is no "clearly correct" answer).

Anyone who has our current study program will be completely prepared for the revised exam. There should be no need for supplemental study material. Also note that we are publishing this news item based on FINRA's filing with the SEC. FINRA has not released a Regulatory Memo to members with the final effective date, which is set based on SEC approval (however, in our experience, the SEC "rubber stamps" these FINRA changes and the proposed effective date usually becomes the actual effective date).