Tag: FINRA

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…

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,…

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…

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