Kaplan University School of Professional and Continuing Education Kaplan University School of Professional and Continuing Education

Securities FAQ

Frequently Asked Questions

Securities Industry Related FAQ

We provide a brief description of each exam on each series exam page on our website. You can find more information about each series exam by contacting FINRA at 800.289.9999 or visit their website at www.finra.org.

We provide a brief description of each exam on each series exam page on our website.You can find more information about each series exam by contacting FINRA at 800.289.9999 or visit their website at www.finra.org.

Licenses that do not require a sponsor include the Series 3, 30, 31, 32, 34, 63, 65 & 66.

Sponsorship is usually done through a broker/dealer. Contact FINRA® at 800.289.9999 or visit their website at www.finra.org for further information on who can sponsor you.

Securities Exam Prep Products and Study Tools FAQ

We do offer a class-only option for some of the series, but the classes are a review, so we do recommend pre-class study utilizing our study tools.

Pre-class study is a must! The instructor assumes students are not hearing and seeing the material for the first time when class begins.

We’ve created a video to show you what Performance Tracker does. View it now »

Access your online tools by following these steps:

  1. Visit https://www.kfeducation.com/login
  2. Log in with your username and password.
  3. Click on Access My Courses at the top left of the page, then select the course to begin studying.

We’ve created a video to walk you through the basics of setting up your calendar. View it now »

We’ve created a video that walks you through the best way to set up and use the SecuritiesPro™ QBank. View it now »

Exam preparation time varies greatly, from a few weeks to several months. Candidates may take longer or shorter, depending on their education level, experience in the industry, and other time commitments (e.g., full-time job, family commitments, etc.). Our goal is to help you minimize this time commitment. Visit our free resources page on our website to view our Best Practices guides that include recommended study times for certain series.

Both exams are used to measure your preparedness for the exam. The Practice Exam has the most up-to-date topics and the Mastery Exam is meant to simulate the exam experience both in length and difficulty.

These exams are specifically designed to closely mimic the FINRA exam and will accurately measure your ability to pass the FINRA exam.

FINRA does not provide the exact questions they use, they only provide an exam outline. The questions we provide are meant to help you understand the content of the material, not how the questions will be asked on the exam. You should be able to answer the question regardless of how it is asked.

FAQ for Kaplan Financial

Follow these steps to change your password:

  1. Enter your email address here.
  2. In the recovery email you received, select the link provided to input your new password.
  3. After submitting your password, select Log in now and log in with your username and password.
  4. Select Access Your Courses in the upper right corner.
  5. Select your course to begin studying.
  1. Click Login in the top menu.
  2. Choose your product.
  3. Enter your username and password.
  4. Click the Login button.
  5. If a security warning pops up, click Yes.
  6. On the left menu bar, click Access Your Courses.
  7. The first time you login you will see the Terms & Conditions.
  8. Read the Terms & Conditions and click I Agree.
  9. You should now be in the Online Access home.

If you're currently enrolled in one of our courses and have questions related to:

  • Locating/tracking materials, rescheduling a class, or filing of CE credits, please contact our Student Support team: 800.824.8742 or contactus@kaplan.com.
     
  • Accessing or viewing your courses or assistance with online education, our Technical Support team can help you: 800.824.8742, then choose option #3. Please visit the Technical Support page for current tech support hours.

Our policy gives you the opportunity to reschedule your class as needed during your access period for no additional fees.  Call or email our Student Support team at 800.824.8742 or contactus@kaplan.com with the date, time, and location that works best for you. If you want to extend your access period for an additional amount of study time, fees may apply.

If you’d like to place an order for someone else, but you are not an admin and/or don’t have access to a company portal, please contact our Student Support team at 800.824.8742.

If you can't access your course, please contact our Technical Support team by calling 800.824.8742, then choose option #3. Please visit the Technical Support page for current tech support hours.

Please visit the Kaplan Way section to learn more about our learning science methodology.

Read about each subject area's PassProtection™ policy below.

Insurance Licensing 

You're covered by our PassProtection™ program if you utilize Kaplan Financial Education's review class to prepare for a licensing exam. Please visit our PassProtection page for details.

Securities Licensing

You're covered by our PassProtection™ program if you utilize Kaplan Financial Education's review class to prepare for a licensing exam. Please visit our PassProtection page for details.

CFP® Certification

You are eligible for PassProtection™ if you purchase a Live Review Study Solution. If you do not pass the CFP® exam after purchasing a Live Review Study Solution, you will receive a free subsequent Live Review Study Solution within a one-year window of time (three exam cycles).
To be eligible, you must submit your Official Score Report to fpexamresults@kaplan.com within three weeks of receiving it from CFP Board. All exam results will remain confidential.

Insurance Continuing Education

Insurance Continuing Education does not offer PassProtection™. If you take the course, you are able to take the final exam as many times as you wish until you attain the score you need. 

Kaplan's full return policy can be found here.

We know that there's no one-size-fits-all solution when it comes to preparing for your licensing exam. That’s why we offer a variety of options to fit your lifestyle and schedule. Compare our study packages for Insurance, Securities, CFP Education, and CFP Exam Prep.

Technical Requirements and Support

Kaplan makes every attempt to make our websites and products mobile- and tablet-friendly. However, not all features are compatible with all tablets and phones.

  • When working on regulated course material, we recommend using a Windows- or Mac-based desktop or laptop computer.
  • We recommend the use of Windows 7-10 or macOS 10.9 or later operating systems.
  • We recommend the use of current Chrome, Firefox, or Safari browsers. We also support Internet Explorer 11 and Edge.
  • For business customers, please verify the browser choice and use with your manager or IT department.
  • We recommend online learners have the latest version of Flash (until Aug 1st, 2018) when it will no longer be needed.
  • We recommend online learners have at least a 2MB connection.

Many internet browsers have already begun phasing out Flash (e.g. Microsoft, Chrome, Firefox) due to security vulnerabilities, reduced power consumption, and faster page loads. Kaplan is proactively working toward replacing Flash to ensure uninterrupted service for our customers and, more importantly, reduce the critical security vulnerabilities that Flash poses to our customers. Some of our clients have already begun the process of disabling Flash on their internal networks due to IT security risks.

WebRTC is a protocol supported by modern browsers. If your browser does not support WebRTC, you must install the Temasys WebRTC browser plugin or use a supported browser before Monday, December 4, 2017, to avoid any disruption in service. Please see the list below. We recommend utilizing the latest versions of your browser. To test your browser, please run this test: Kaplan Connection 2.0 Browser Test.

Please navigate to this website to install the Temasys plugin on your machine OR forward onto your IT team to install across your company's network.

If I try launching the Live Online classroom and my browser does not natively support WebRTC, what can I expect?

When launching the Live Classroom from a browser that does not natively support WebRTC (i.e. IE 11), the user will receive an Audio/Video Plugin Required message.

To ensure a smooth transition for your organization, please take the following steps and contact us if you have any issues.

  1. Allow for TCP connection secured over TLS over port 443 along with UDP Ports 443 and 10,000 - 20,000
  2. If your company utilizes an internet browser not natively compatible with WebRTC (IE11 or before, Safari 10 or before), install the Temasys plugin

We have already begun phasing in this new technology, and all products will be switched over by July 31, 2018. At that time, all live online classes will be delivered via the upgraded HTML5-based technology.

Products impacted:  This will impact live online classes only.

  Windows

Mac

Operating System Windows 7 - 10 OS X 10.9 to 10.12
Browser: Browsers with WebRTC browser extension and the ability to install browser extensions for audio/video and screen sharing.
  • Microsoft Internet Explorer 11, Edge
  • Google Chrome (latest version)
  • Mozilla Firefox (latest version)
  • Apple Safari 5 or later
  • Google Chrome (latest version)
  • Mozilla Firefox (latest version)
A/V
  • Web Camera connected to the computer for streaming video feed
  • Microphone for streaming audio feed
Mobile Support

Mobile is supported by the use of the HTML5Meeting App. Available in the AppStore and Google Play Store.

Network
  • 500kbps per each video feed
  • 500kbps for screen sharing
  • Internet connection 1 Mbps or better - broadband recommended
  • Allow for TCP connection on port 443
  • Allow for UDP connection on ports 443, 10,000-20,000

* Minimum requirements depends on the number of video feeds

Monday - Thursday: 8:00 am - 10:00 pm ET
Friday: 8:00 am - 9:00 pm ET

Phone: 800.824.8742 (U.S.) or +1 608.779.8301 (International)

After-hours support is available by submitting a Tech Support Contact Request. Requests will be responded to within 24 hours.