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The Securities Institute
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America's Source for Securities Training and Education
America's Source for Securities Training and Education

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The 2015 versions of our Wiley Exam Review guides are ready for immediate delivery. We have included a ton of new information based on student feedback to be sure you have all the latest information being tested. 
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New Blog Post: 03-21-2014: Series 66 Question of the Week - The broker call loan rate is: A. The rate that member banks charge each other for overnight loans B. The rate that banks charge their most credit worthy corporate customers on loans C. The rate that the Federal Reserve Bank charges member banks on loans D. The rate that banks charge to broker dealers to finance their customers' margin purchases Correct Answer(s): D. The rate that banks... http://ow.ly/2EUVYX
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New Blog Post: 03-20-2014: Series 24 Question of the Week - A firm wishing to quote an issue in the OTCBB may piggyback another dealer's continuous quote in the pink sheets if:I. The security has a bid price of at least $5II. The issuer is not in bankruptcyIII. The security is issued by a domestic issuerIV. The issuer current with its reporting A. I and II B. II and IV C. II, III and IV D. I, II, III, IV Correct Answer(s): C. II, III and IV ... http://ow.ly/2ESUAo
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New Blog Post: 03-19-2014: Series 65 Question of the Week - A client has received inside information from a friend about a new technology stock in the market. The client has instructed his broker to enter an order to sell 1000 shares of the stock shortly after he purchased the shares, and he is realizing a material gain of $10,000. What would be the outcome of trading on inside information if the client is convicted of the action?I. The client and his friend would be ... http://ow.ly/2EQGtB
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New Blog Post: 03-18-2014: Series 7 Question of the Week - All of the following pay dividends except: A. Common stock. B. Preferred stock. C. ADRs. D. Warrants. Correct Answer(s): D. Warrants. Explanation: Warrants do not pay dividends. http://ow.ly/2EOF1F
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New Blog Post: 03-17-2014: Series 6 Question of the Week - A corporation may pay a dividend in which of the following ways? A. Stock B. Cash C. Stock of another company D. All of the choices listed Correct Answer(s): D. All of the choices listed Explanation: All of the ways listed are ways that a company can pay a dividend. http://ow.ly/2EMFpK
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New Blog Post: 03-16-2014: Series 26 Question of the Week - Many large mutual fund companies offer the following privileges to their investors: A. Combination privileges B. Conversion and exchange privileges C. 30-Day emergency withdrawal D. All of the choices listed Correct Answer(s): D. All of the choices listed Explanation: Large mutual fund companies frequently offer all of the choices listed privileges to their investors. http://ow.ly/2EL4vK
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New Blog Post: 03-16-2014: Series 10 Question of the Week - Your firm is a market maker and is participating in an offering of securities as a syndicate member. You firm is acting as a passive market maker and has purchased 12,000 shares which is 98% of its ADTV. An order comes into the firm's trading desk to sell 3,000 shares at 2:40. Which of the following is true ? A. Your firm may not purchase the stock as it would cause the firm to exceed its purchase limit... http://ow.ly/2EL4vL
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New Blog Post: 03-15-2014: Series 63 Question of the Week - Under the Uniform Securities Act, which of the following would not have to be disclosed when filing a registration by qualification? A. A statement analyzing the issuer's profit margin over the last three years compared to the profit margins of its primary competitors B. The capitalization and long-term debt of the issuer and any significant subsidiary C. The general character and location of the issuer'... http://ow.ly/2EJMEA
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New Blog Post: 03-14-2014: Series 66 Question of the Week - A registered broker dealer who is a syndicate member may do which of the following during the cooling off period ?I. Run a tombstone ad II. Gather interest III. Send out the final prospectusIV. Send outretail communication A. I and II B. I and IV C. II and III D. II only Correct Answer(s): A. I and II Explanation: A syndicate member may only run a tombstone ad announcing ... http://ow.ly/2EI6X6
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