Tag: featured

Series 54 Training Classes

Series 54 Training Classes Are Now Available

The Series 54 Training Classes Are Now Available for purchase! What is the Series 54? Any person who supervises the activities of a municipal securities advisor will be required to pass both the Series 50 and Series 54 examinations There is no “grandfathering” provision, meaning that…

Insurance sales

Changing the Customer Experience with Insurance

The general public has historically viewed the insurance industry with a certain amount of skepticism. Insurance products can be complicated, and the process for selling often falls short of being consultative. Trends in the industry are helping a new generation of insurance salespeople to…

SIE exam without sponsorship

Is the financial services industry becoming more democratic?

  Crowdfunding, crowdlending and crowd equity. These terms did not exist a decade ago, but now they represent some of the hottest trends in the securities industry. While digital platforms have opened new opportunities and realms for investors, there will always be a need…

Investment advisor testing

What Is an Investment Advisor and How Are They Trained?

Investment advisors have one of the greatest jobs in the world: making money for clients. As clients make money, their advisors build wealth right alongside them. The work provides intellectual challenge and the excitement of building a good reputation and prosperous business. Despite the…

FINRA’s 2019 Risk Monitoring and Examination Priorities

FINRA’s 2019 Risk Monitoring and Examination Priorities

  FINRA‘s 2019 Risk Monitoring and Examination Priorities Letter is out, and it highlights this year’s new priorities and identifying areas of ongoing concern that FINRA will focus on in the coming year. Priorities for 2019 include enforcement, trading or churning for quantitative suitability,…