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Your Guide to Passing the SIE Exam
Everything you need to know to prepare with confidence, understand the exam structure, and pass on your first attempt.
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What You Need to Know About IAR Continuing Education (CE) Model Rule
On November 30, 2020, NASAA (North American Securities Administrators Association) adopted the Investment Advisor Representative (IAR) CE Model Rule. The CE Model Rule impacts those in the financial industry, as a certain number of education credits are required annually. Read on for a general overview of the rule,…
Is the SIE Exam Hard?
The Securities Industry Essentials (SIE) Exam is the first major step toward licensure for aspiring securities professionals. Offered by the Financial Industry Regulatory Authority (FINRA), this test assesses your foundational understanding of the financial industry before you affiliate with a member firm. You may…
Todd Talks: IAR CE – Key Requirements
Todd Rosenfeld, Chief Learning Officer at STC, discusses the key requirements for IAR Continuing Education. a Welcome to another edition of Todd Talks! In this video, we dive into the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) established by the North American…
FINRA Firm Element CE FAQ
The financial services industry relies on knowledgeable, compliant professionals. To support this standard, FINRA requires continuing education for all registered individuals. FINRA’s CE program consists of two components: the Regulatory Element, which focuses on rule changes and regulatory updates, and the Firm Element, which…
5 Test-Taking Tips for FINRA Exam Preparation
Preparing for a FINRA exam is an important step toward earning your securities license and building a career in financial services. While FINRA exams have a reputation for being challenging, the right preparation strategy can make the process far more manageable. With a structured study plan…
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See All What You Need to Know About IAR Continuing Education (CE) Model Rule
On November 30, 2020, NASAA (North American Securities Administrators Association) adopted the Investment Advisor Representative (IAR) CE Model Rule. The CE Model Rule impacts those in the financial industry, as a certain number of education credits are required annually. Read on for a general overview of the rule,…
Todd Talks: IAR CE – Key Requirements
Todd Rosenfeld, Chief Learning Officer at STC, discusses the key requirements for IAR Continuing Education. a Welcome to another edition of Todd Talks! In this video, we dive into the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) established by the North American…
FINRA Firm Element CE FAQ
The financial services industry relies on knowledgeable, compliant professionals. To support this standard, FINRA requires continuing education for all registered individuals. FINRA’s CE program consists of two components: the Regulatory Element, which focuses on rule changes and regulatory updates, and the Firm Element, which…
5 Test-Taking Tips for FINRA Exam Preparation
Preparing for a FINRA exam is an important step toward earning your securities license and building a career in financial services. While FINRA exams have a reputation for being challenging, the right preparation strategy can make the process far more manageable. With a structured study plan…
Series 63 Exam: Why You Should Take It and What It Unlocks
You passed the Securities Industry Essentials (SIE) exam. You conquered the Series 6. Now, you face a critical hurdle before you can truly maximize your potential as a financial professional. If you want to conduct business across state lines and unlock the highest tiers…
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The latest securities training news, course updates, advancements and market information.
See All Todd Talks: IAR CE – Key Requirements
Todd Rosenfeld, Chief Learning Officer at STC, discusses the key requirements for IAR Continuing Education. a Welcome to another edition of Todd Talks! In this video, we dive into the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) established by the North American…
FINRA Firm Element CE FAQ
The financial services industry relies on knowledgeable, compliant professionals. To support this standard, FINRA requires continuing education for all registered individuals. FINRA’s CE program consists of two components: the Regulatory Element, which focuses on rule changes and regulatory updates, and the Firm Element, which…
5 Test-Taking Tips for FINRA Exam Preparation
Preparing for a FINRA exam is an important step toward earning your securities license and building a career in financial services. While FINRA exams have a reputation for being challenging, the right preparation strategy can make the process far more manageable. With a structured study plan…
Series 63 Exam: Why You Should Take It and What It Unlocks
You passed the Securities Industry Essentials (SIE) exam. You conquered the Series 6. Now, you face a critical hurdle before you can truly maximize your potential as a financial professional. If you want to conduct business across state lines and unlock the highest tiers…
Series 63 Exam Day: What to Expect
The day you take your Series 63 exam is a significant milestone in your financial services career. This exam, formally known as the Uniform Securities Agent State Law Examination, is a crucial step for many professionals. While the preparation is intensive, knowing what to…