If you are planning to take the Series 39 exam, a Series 39 course from Varsity Tutors can help you work toward your goals. A Series 39 course gives you resources and instruction to prepare effectively. Also, a Series 39 class is designed with your needs and goals in mind.
The Series 39 exam measures your ability to be a direct participation program principal. The Series 39 exam is also referred to as the Direct Participation Programs Principal Qualification Examination. Part of a Series 39 class can be increasing your understanding of the content and organization of the test. Below is a table outlining the layout of the Series 39 exam:
|Question Format||# Questions||Time Allowed||Passing Score||Corequisites|
|Multiple-Choice||100||2 Hours and 15 Minutes||70%||Securities Industry Essentials (SIE) + Either Series 7 or Series 22|
All Series 39 courses take place via our Live Learning Platform. This platform allows you and your instructor to interact in real time while meeting for your Series 39 prep course from anywhere with an internet connection. Series 39 classes make learning convenient by removing the need to commute. When you register for a Series 39 prep class, we will connect you to a tutor who fits your schedule as well as possible.
Series 39 prep courses allow you to learn in a one-on-one environment that is based on your goals, needs, and abilities. In Series 39 prep classes, you and your instructor can make a study plan that suits your learning style. Everyone learns differently, and whether you prefer to read, watch, listen, or practice, you can work to absorb information in a way that works for you. Series 39 prep courses do not follow a set syllabus, which allows you and your instructor to make decisions based on your particular needs. If you want to try to learn about the Series 39 exam topics in a more comprehensive manner, or if you would prefer to focus intensively on one or two topics, you have the freedom to do that in your Series 39 prep course. Below is a list of some topics you can work through in a Series 39 class.
Series 39 Topics (non-comprehensive)
- Types of underwriting commitments
- Syndication practices
- Dealer manager functions
- Compliance requirements for wholesaling
- Subscription practices
- Securities Exchange Act of 1934 and SEC Rules Thereunder
- Types of compensation
- Securities Act of 1933 and SEC Rules Thereunder
- FINRA Conduct Rules
- Form of Offering
- Insider Trading and Securities Fraud Enforcement Act of 1988
- Investment Advisers Act of 1940
- Types of retirement plans
- Distributions from qualified retirement plans
- Securities Investor Protection Act and SIPC Rules Thereunder
- Proprietary Accounts of Broker-Dealers (PAB)
During your Series 39 prep course, you can also work on test-taking strategies. These strategies can help you devise a systematic approach to the types of questions that appear on the Series 39 exam. You and the instructor for your Series 39 prep class can the questions that appear and make strategies based on the content in them. Additionally, because the Series 39 exam is made up of multiple-choice questions, you are able to practice test-taking strategies that work effectively for multiple-choice questions. Utilizing test-taking strategies can help you to use your time more effectively on the exam, answer questions in a more organized manner, and approach the Series 39 exam with greater confidence.
As you prepare for the Series 39 exam, consider a Series 39 prep course from Varsity Tutors. Series 39 prep classes take your needs into account, and they are designed to be flexible and challenging. If you are interested in the benefits Series 39 courses can have for your test preparation, contact an Educational Consultant online or over the phone.
Mary: Series 39 course instructor
...roles. I became a market maker, providing liquidity to the public orders, a specialist, keeping an orderly book of all public orders, and floor manager, overseeing the daily operations. The environment was dynamic, highly demanding, requiring laser focus, preparation and stamina. An integral member of the firm, collaborating with other member firms and the Board of Governors, serving on committees, worked on new business initiatives, recruiting and training new hires from top universities. At the...