Frequently Asked Questions
Our Help and Frequently Asked Questions (FAQs) section provides answers to questions you may have about Kaplan
Financial Education's product and service offerings. Save time and receive the information you need when you click an item below.
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Kaplan Financial Education FAQs
- Who is Kaplan Financial Education?
- What is new with Kaplan Financial Education?
- What is Structured Study Program?
- What is an Annual Compliance Meeting?
- What is Firm Element?
- How long do you advise waiting between the end of class and taking the exam?
- What is the retake policy for classes?
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Who is Kaplan Financial Education?
Over the last 70 years, Kaplan Financial Education has taken great pride in providing the most current test preparation and continuing
education materials for Securities and Insurance professionals.
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What is new with Kaplan Financial Education?
Kaplan Financial Education has developed top-of-the line materials that are unmatched in today's market. Our innovative products make it possible for our
students to study anywhere or anytime. Our new products include Live & OnDemand Online Class, SecuritiesPro™ QBank, InstructorLink™,
Class Notes, and an MP3 Audio Review.
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What is Structured Study Program?
Structured Study Program (SSP) is a simple and effective training program designed to get a firm's employees licensed and producing as soon as possible.
The SSP combines everything offered in our Premium Study Solution with the convenience of tracking employee progress. This program makes it possible
for organizations to ensure their employees are completing the scheduled readings while also being able to track who is struggling and succeeding in
their exam prep process.
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What is an Annual Compliance Meeting?
The Kaplan Financial Education Annual Compliance Meeting OnDemand is a recorded virtual class delivery of customer compliance materials designed
to meet FINRA Rule 3010(a) (7) requirements. Traditionally such compliance meetings are delivered in live settings, but FINRA has also permitted
delivery by video or teleconference as long as certain interactivity requirements and attendance certifications safeguards are met.
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What is Firm Element?
FINRA requires individuals licensed in Securities to keep up with regulatory changes and the latest market developments on an annual basis.
Kaplan Financial Education provides numerous Firm Element courses to keep you up to date with regulatory requirements.
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How long do you advise waiting between the end of class and taking the exam?
It is in your interest to take the licensing exam as soon as possible after completing our courses in order to retain the information recently learned.
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What is the retake policy for classes?
You are eligible for our PassProtection™ program if you utilize Kaplan Financial Education's review class to prepare for a Series exam.
This program allows you to reschedule your review course up to four times within one year of the date purchased. A fee of $100 for
Series 6, 7, 65, and 66 and $50 for Series 63 will be charged for each enrollment after the fourth time taking the course. To qualify for this offer,
you must provide written documentation of your exam results in the form of a pass/fail for notification.
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