After 37 years on the NYSE, I am a recently retired member/floor trader, principal, and compliance officer. I have taught and had real-life experience with most of the content on FINRA exams. I hold the SIE, Series 7, 63, 24, 14 (compliance), and multiple trading licenses. Coming from a humble background, my brother (Series 7 whisperer) and I know how to make the complicated simple.
