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Free Securities Licensing Informative Webinars

Have you already finished your exam preparation, and now you're waiting for your exam appointment? Unsure of how to keep topics top of mind while you pass the time before your exam? Worried you'll lose your momentum? We get it.

Kaplan's expert instructors put together a series of webinars to assist with bridging the gap between the end of your study program and your test date. Webinars cover a range of frequently tested content on the Securities Industry Essentials (SIE), Series 6, Series 7, Series 65, and Series 66.

OnDemand Securities Licensing Webinars

This webinar, presented by Mark Esposito, introduces the Securities Act of 1933 and the Securities Exchange Act of 1934, and discusses basic terminology covering securities offerings in the primary market and the various trading markets.  The topics in this webinar are applicable for those who have started or finished preparing for their SIE, Series 6, Series 7, Series 65, or Series 66.

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This webinar, presented by Marie Sychowski, analyzes the similarities and differences of closed-end and open-end funds, and discusses the various classes of open-end funds and the services many funds offer. The topics in this webinar are applicable for those preparing for their SIE, Series 6, Series 7, Series 65, or Series 66.

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This webinar, presented by Brad Charles, discusses the types of equity securities, including common stock, preferred stock, and ADRs.  It also reviews general characteristics and the rights of the shareholder. The topics in this webinar are applicable for those preparing for their SIE, Series 6, Series 7, or Series 65.

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This webinar, presented by Brad Charles, reviews the various types of debt securities (bonds) including corporate debt, municipal debt, and U.S. Government debt.  We will also discuss the general characteristics of long-term and short-term securities. The topics in this webinar are applicable for those preparing for their SIE, Series 6, Series 7, or Series 65.

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This webinar, presented by Gigs Taylor-Stephenson, reviews single option strategies and how to determine the market attitude, calculate the intrinsic value break-even, maximum gain, and maximum loss.  The topics in this webinar are applicable for those preparing for their SIE, Series 6, or Series 65.

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This webinar, presented by Gigs Taylor-Stephenson, discusses the use of options to hedge long and short stock positions, as well as a review of the income strategies when using short options. The topics in this webinar are applicable for those preparing for their SIE, Series 6, Series 7, Series 65, or Series 66.

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This webinar, presented by Gigs Taylor-Stephenson, gives a more in-depth look at multiple option strategies including straddles and the various types of spreads. The topics in this webinar are applicable for those preparing for their Series 7.

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This webinar, presented by Mark Esposito, reviews various order types including market, limit, stop, and stop limit orders. We will also discuss when and why to use one over the other. The topics in this webinar are applicable for those preparing for their SIE, Series 7, Series 65, or Series 66.

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This webinar, presented by Brad Charles, discusses the types of risk associated with specific securities and how to avoid those risks when possible. The topics in this webinar are applicable for those preparing for their SIE, Series 6, Series 7, Series 65, or Series 66.

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This webinar, presented by Brad Charles, reviews Securities positions and client objectives to determine which investment(s) would and would not be a suitable recommendation.   The topics in this webinar are applicable for those preparing for their SIE, Series 6, Series 7, Series 65, or Series 66.

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This webinar, presented by Marie Sychowski, provides a macro view of the economy, general terminology, and the impact government decisions have on taxpayers and other entities, both foreign and domestic. The topics in this webinar are applicable for those preparing for their SIE, Series 6, Series 7, or Series 65.

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Give yourself the best chance to pass your qualification exam with a deep dive into the anatomy of a question. This webinar, presented by Mark Esposito, will give you practice reading questions very carefully, reviewing what information to look for, as well as what information to discard when dissecting a question.  We will review double negatives, as well as questions explicit to certain securities laws. The topics in this webinar are applicable for those preparing for their SIE, Series 6, Series 7, Series 65, or Series 66.

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Was your exam appointment canceled due to COVID-19 testing center closures?

We understand the hard work you’ve put into preparing for your exam, and the frustration caused by having it canceled or rescheduled. Stay on track with your exam studies while you wait for testing centers to reopen with this guidance, put together by Kaplan's experts.

Stay Prepared