Tag: FINRA

FINRA Examination Process

FINRA’s Member Firm Examination Process

Updates to FINRA’s member firm examination process FINRA examiners have the difficult task of reviewing member firms and assessing risk. This association regulates more than 3,700 brokerages and 630,000 registered representatives in total. In order to help improve their member firm examination process, FINRA…

Benefits of the SIE Exam

Who Benefits from the SIE Examination?

Who Benefits from the SIE Examination? The Securities Industry Essentials (SIE) exam presents an opportunity for anyone with a desire to work in the financial services industry to sit for an exam. This new test, released on October 1, 2018, is the result of…

FINRA examinations

FINRA Updates Examination Priorities for 2018

FINRA updates examination priorities for 2018 Once the Financial Industry Regulatory Authority (FINRA) updates examination priorities, you have to address changes proactively before you incur costly penalties. FINRA’s 2017 Examination Findings Report reveal new concerns, such as cybersecurity and cryptocurrency. Subsequently, FINRA published its…

Passing SIE Examination

7 Reasons Why You Need to Ace the SIE Examination

If you’re starting a career in financial services, acing the Securities Industry Essentials exam is step one. The Financial Industry Regulatory Authority (FINRA), amid concerns about redundant content, has consolidated all introductory-level questions to form the SIE. Required after October 2018, the SIE will…

Leverage the SIE exam

How to Leverage the SIE Exam in Your Business

How to Leverage the SIE Exam in Your Business The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. The SIE Exam is…

Last month legacy exams- FINRA

Last Week to Register For Legacy Exams

Final Week to Register for Legacy Exams STC would like to give you a friendly reminder that this is the last week to enroll for your legacy exam (Series 6, 7, 79, etc) before the FINRA SIE exam is instituted Oct. 1. Want to…

sales assistants

Should Sales Assistants Take the SIE? Yes!

The financial services industry is awash in paperwork. Well-run firms rely heavily on their office and administrative support to keep track of transactions, new accounts, customer requests and the day-to-day operations. Although not always necessary, some support staff do need to be licensed. Starting Oct.…

SIE course

What Does STC’s SIE Course Look Like?

What Does STC’s SIE Course Look Like? The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. The SIE Exam is a…

group waiting on passing score

FINRA Releases SIE and New Top Off Passing Scores

FINRA has finally released their SIE and new Top off exam passing scores. The SIE (Securities Industry Essentials) Exam is a new, introductory-level FINRA exam for current non-registered staff members and prospective securities industries professionals who are not associated with a brokerage firm as well…

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