FINRA EXAM PREP
Notes from the Trading Floor
Study plans, exam breakdowns and hard-won advice for the SIE, Series 6, 7, 63, 65 and 66 — from someone who spent 37 years doing this work for real.
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Shareholder Rights on the SIE Exam: Inspection, Liquidation & Transfer (Part 2)
Part 2 of shareholder rights for the SIE exam: the 10-K and 10-Q, the Statement of Additional Information, the full liquidation priority order and why transferability…
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Shareholder Rights on the SIE Exam: Voting & Dividends (Part 1)
Part 1 of shareholder rights for the SIE exam: the three dividend types, ex-dividend pricing, statutory vs cumulative voting, transfer agents, proxies and preemptive rights.
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Common Stock on the SIE Exam: What You Actually Need to Know
A 37-year NYSE floor trader breaks down common stock for the SIE exam: voting rights, dividends, stock splits, dilution, preemptive rights and the liquidation priority order.
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How to Study for the SIE Exam: A Study Plan From 37 Years on the NYSE
A 37-year NYSE floor trader explains how long the SIE exam really takes, why question banks are not enough, and the scheduling mistake that sinks most…