FINRA Series Exam Study Books: Best Preparation Resources

By IIC Lakshya

18 Dec 2025

Others

FINRA Series Exam Study Books: Best Preparation Resources

Are you an aspiring candidate for the FINRA Series exams? In this article, you can learn about the top publishers in the finance industry. Candidates aiming to apply for senior-level positions in the investment and securities industry will find the discussed books below quite beneficial in the long run.

Top Study Material Providers for FINRA

Below are some of the well-known publishers who offer effective study materials and resources to FINRA series exam candidates. If you have planned a study schedule, you need to learn about the significant topics and content of the FINRA exam. This will guide you towards significant preparation for the exam.

Securities Training Corporation (STC)

The publisher follows the syllabus of the FINRA exams very closely, as they are discussed in detail. It explains the industry structure, investment, regulation, and traditional concepts, making it easier for candidates. Candidates can use manuals, mock tests, question banks, and other study resources to crack the target exam.

Kaplan Financial Education

The publisher Kaplan Financial Education is a well-known name in the finance industry for exam preparation. They offer a detailed explanation of all content and topics covered in the FINRA Series exams. Furthermore, if you are a candidate preparing for the careers in investment, like a Chartered Financial Advisor (CFA), Kaplan Publishers offers several resources.

Best Books for FINRA Series Exam Preparation

If you are preparing for the FINRA series exam, you must learn about these books, which will guide you effectively. These books guide candidates towards investment banking courses in 2025. Below is a tabular form of the five best books, their publisher, and author. Furthermore, the books are discussed in detail, explaining the functions and features of the books.

Name of the Books	Publisher	Author
Mometric Test Preparation Guides	Mometrix Test Preparation	Mometrix Test Preparation Team
Provider Study Manuals	Various publishers, including Kaplan	Prep experts of the various publishers
Pass the 7: Training Guide for the FINRA Series 7 Exam	First Book Inc	Robert Walker
Securities Industry Essentials Exam for Dummies	John Wiley & Sons/ For Dummies Series	Steven M. Rice
Kaplan Series 6 License Exam Manual	Kaplan Financial Education (Part of Kaplan, Inc.)	Prep experts of Kaplan Financial Education

Mometric Test Preparation Guides

It is one of the most significant books for candidates who are looking for a course structure that will help them develop time-management skills. Candidates get practice questions in this book, which will help them develop confidence when taking the exams.

The book offers a lot of clarification and explanations on the topics, tips, and strategies, helping students improve their performance in the exam. Students will also get detailed explanations of the answers.

Provider Study Manuals

Several publishers offer these study manuals, like Kaplan, Training Consultants, and STC. The exam prep companies produce this type of manual instead of a single author. It is quite effective as it serves as the primary study resource.

Candidates get to learn about various FINRA concepts and regularly take practice questions. There are chapter summaries along with examples, which reinforce understanding of the concepts instead of rote memorization.

Pass the 7: Training Guide for the FINRA Series 7 Exam

This book is specific to the FINRA Series 7 exam, its content, and structure. The materials for this exam are discussed in detail in this book, including practice questions for the same. These resources help in exploring the career options in Finance.

There are complex topics in this exam, which are broken down into several sections. It will help candidates to learn and understand the sections more easily. The book also offers real-world examples for various concepts and topics of the exam.

Securities Industry Essentials Exam for Dummies

This book is perfect for candidates who are appearing for the FINRA Series exam for the first time. If you are a candidate aspiring to appear for the FINRA exams without having a financial background will receive guidance in the form of this book.

A Certified Public Accountant (CPA) is another course or designation where candidates develop knowledge from this book as well. Finance being an integral part of these courses, it helps in career growth.

Kaplan Series 6 License Exam Manual

This book is considered a measuring level for other books in the industry. The book is organized and well-aligned with the FINRA structure and content materials. It is focused on Series 6, which discusses variable products, customer account management, mutual funds, and regulations.

Wrapping Up!

In conclusion, these books will guide candidates through the FINRA exam preparation process. The noted publishers have heavily contributed to creating resources and study materials that will help finance professionals and aspirants crack the online qualification exams.

Frequently Asked Questions on the Best Books for FINRA Series Exam Preparation

What is the 5 rule in FINRA?

The five percent rule in FINRA states that investors must face fair pricing, and it is the responsibility of the brokers. They must ensure that all markups, commissions, and markdowns taken are below 5%.

What is the easiest FINRA test?

The easiest exam is completely based on the knowledge and integration of the SIE exam because it ranges from easy to medium level difficulty.

Is FINRA a government agency?

FINRA is not part of the government agency; however, it is a self-regulatory organization (SRO). They are registered with the SEC and effectively use them as resources and follow the supervision.

Is CFP or CFA better?

We cannot compare the CFP and CFA because the CFA is a certification in financial analytics and investing. The CFP is more about individual clients and financial planning. Both course certifications are significant for different job roles in the financial industry.

What is the 2-year rule for FINRA?

There is a two-year rule for FINRA, where professionals who have qualified for certification remain under their jurisdiction even after their registration is terminated.