Resource Center: Career

Featured Career articles

Series 7 exam

Continuing Education’s Role in the Marketplace

Government and industry compliance and regulatory requirements heavily impact the financial securities industry. Along with these enforced protocols, firms are expected to conduct business using good ethical and sales practice standards. In the securities marketplace, because securities regulations are consistently in flux, continuing education…

Glass-Steagall Act

Is the Glass-Steagall Act On the Road to Reinstatement?

Longstanding political battles have been fought over the banking system, its internal structure, and the investment habits of its largest members. The Glass-Steagall Act was enacted in order to fight on the side of depositors, aiming to protect them from risky investments, and remove…

brokerage firms

What Are The Top Brokerage Firms Looking For When They Recruit?

While some industry sectors are growing, brokerage firms are becoming choosier about candidates. Fortunately, now that the Series Industry Essentials (SIE) Exam can be taken by anyone without requiring sponsorship by a FINRA member firm, there is a platform that allows jobseekers to stand…

sie and insurance agent

How the SIE Can Help You as an Insurance Agent

The traditional separation between selling insurance and investment products has begun to erode over the past decade. As the U.S. population ages and more women have entered the workforce full-time, investors demand investment products tailored to their particular interests and lifestyle as well as…

Benefits of the SIE Exam

Who Benefits from the SIE Exam?

Who Benefits from the SIE Exam? 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 is the result of the Financial Industry Regulatory Authority…