FINRA, NASAA, and securities industry licensing exams. Watch mapped videos, then move into the matching free practice questions, study guides, glossary terms, and comparison resources.
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Browse Securities & FINRA video topics
Narrow the videos to a credential family, then continue into the matching exam resources.
What Securities & FINRA exam prep videos are available?
This hub organizes 165 free Securities & FINRA exam prep videos across 9 related exam IDs, including FINRA Series Exams. Videos are mapped from OpenExamPrep blog, glossary, and comparison resources so they stay connected to the underlying exam taxonomy.
How should I use these Securities & FINRA videos?
Use each video as a quick orientation, then open the matching practice questions, study guide, glossary terms, or comparison resource from the video card. The goal is not passive watching; the video should route you into the exact resource for the exam you are studying.
Are these videos grouped by exam family?
Yes. When a Securities & FINRA family has enough videos to avoid a thin page, OpenExamPrep creates a family-level video hub. Domain pages link only to family video hubs with meaningful coverage.
Are the Securities & FINRA videos free?
Yes. The videos and the core OpenExamPrep resources they link to are free, including practice questions, study guides, flashcards, glossary resources, and comparison pages where available.
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The Series 6 is a limited securities license that authorizes the sale of packaged investment products only — mutual funds, variable annuities, variable life insurance, 529 plans, and unit investment trusts. The Series 7...
The Series 63 and Series 65 are both NASAA state-level exams (administered for NASAA by FINRA), but they serve fundamentally different purposes. The Series 63 (Uniform Securities Agent State Law) is a state registration...
The Series 63 is a state law exam that registers you as a securities agent only — it covers the Uniform Securities Act and enables you to sell securities at the state level when paired with a FINRA license (Series 6 or...
The Series 65 is a standalone exam with no prerequisites that qualifies you as an Investment Adviser Representative (IAR) — ideal for fee-only advisors, career changers, and CFP professionals who do not need a brokerage...
The SIE is the entry-level corequisite exam that anyone 18+ can take without firm sponsorship — it proves foundational securities knowledge. The Series 7 is the comprehensive license exam that requires firm sponsorship...
Capital gains tax is a tax on the profit from selling investments or assets. Short-term gains (assets held 1 year or less) are taxed as ordinary income; long-term gains (held more than 1 year) receive preferential rates...
The federal estate tax is a tax on the transfer of property at death, applying to estates exceeding the exemption amount ($13.99M in 2025, $15M in 2026) at rates up to 40%.
Gift tax is a federal tax on transferring assets to another person while alive, with an annual exclusion of $19,000 per recipient in 2025 ($38,000 for married couples splitting gifts). The lifetime exemption of $13.99 m...
The wash sale rule prohibits investors from claiming a tax loss on a security if they purchase a substantially identical security within 30 days before or after the sale, disallowing the loss for tax purposes but adding...
Who SEBI requires to pass NISM Series XXV-A, the official 50-question format, the Annexure I weightage table, how it differs from XXV-B, and a free mock-test study plan.
Complete breakdown of Series 7 exam costs in 2026 — FINRA increased the fee to $395 and the SIE fee to $100, plus state registration, study materials, and hidden costs. Mandatory fees range from $642 to $672.
Series 63 vs Series 66 comparison: the Series 63 covers state securities sales ($147, 60 scored questions), while the Series 66 combines agent and adviser subject matter ($177, 100 scored questions). Full 2026 breakdown.
Series 63 agent exemptions and exclusions explained clearly. Who must register as an agent, who is excluded from the definition entirely, and who is exempt from registration under the Uniform Securities Act.
The hardest Series 66 topics ranked, why candidates struggle, the 73-of-100 passing standard and a free 8-stage study plan targeting weak areas for 2026.
NASAA lists no Series 65 pass rate. See what it does publish (92 of 130 scored questions to pass), how the exam compares and FREE strategies to pass in 2026.
Complete 2026 Series 9 (General Securities Sales Supervisor) exam guide. Covers the hardest topics, a 5-week study plan, Series 9 vs Series 24, career advancement, and what to expect after passing. Free study resources...
FINRA CE requirements for 2026: annual Regulatory Element, Firm Element, MQP program, and consequences of CE inactive status. Updated topic list and deadlines included.
Series 65 hardest topics ranked for 2026: the Uniform Securities Act and Client Recommendations (30% each), the 92-of-130 passing standard, and the best study order.
Learn the top 10 reasons people fail the Series 7 -- from underestimating options to poor time management -- and get actionable strategies to avoid each mistake in 2026.
Passed the SIE exam? Your SIE pass is valid 4 years but licenses you to do nothing on its own. Pick a top-off exam, get firm sponsorship, and launch your securities career in 2026.
A source-checked guide to the Series 65 laws and ethics domain, adviser fiduciary duty, Regulation Best Interest, registration, retakes, waivers, and the 2026 qualified-client thresholds.