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 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…
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…
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…
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…
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…
If you’re getting ready to launch your career in the financial services industry, there’s one important step that comes early in your journey: passing the Securities Industry Essentials (SIE) exam. Whether you’re fresh out of college or pivoting into the field, the SIE exam…
Financial services careers continue to attract professionals looking for stability, growth, and long-term earning potential. From entry-level roles requiring foundational exams like the SIE and Series 7 to advanced positions supported by licenses such as the Series 65, Series 24, and Series 63, compensation trends show a clear pattern: Licensing, experience, and performance matter.…
This year’s finance jobs outlook is shaped by four major forces: accelerating AI adoption, new regulatory frameworks, economic uncertainty, and rising consumer expectations. Financial services remain a pillar of global economic growth, and it’s entering a period of transformation. Here’s an updated look at the finance jobs landscape for 2026, with insights for finance graduates, career changers,…