For securities professionals starting their careers, the Securities Industry Essentials (SIE) Exam is a given. But what comes next? For nearly everyone, it’s either the Financial Industry Regulatory Authority’s (FINRA) Series 6 or Series 7 exam. Which option you choose will set up your…
The Series 6 Exam is the FINRA qualification exam for Investment Company and Variable Contracts Products Representatives. Pass it and its corequisite, the Securities Industry Essentials (SIE) Exam, while sponsored by a FINRA member firm, and you can be registered to sell mutual funds,…
For securities and finance professionals adding investment advisory responsibilities, the Series 65 is a clear route to satisfying the examination requirement for investment adviser representative registration. Whether you need it depends on your existing qualifications, professional designations, and the requirements of the jurisdictions where…
How to Pass the SIE Exam: The Short Answer To pass the SIE exam, you need a scaled score of 70 on FINRA’s 75-question exam. Study from a course built on FINRA’s content outline, spend the most time on products and their risks (44%…
As is the case with many new regulations, the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) created by the North American Securities Administrators Association (NASAA) is generating a number of questions. The following information addresses the most frequently asked questions regarding…
If you’re an investment adviser representative (IAR), you may owe IAR CE requirements. These are straightforward once you know the rules, but failing to remain compliant can result in major consequences for your career. Find out if you owe IAR CE requirements, how to…
The Series 7 Exam is one of the most important milestones in a securities career. Passing it, along with the Securities Industry Essentials (SIE) Exam, qualifies you to register as a General Securities Representative and work with a broad range of investment products on…
If you plan on becoming an Investment Adviser Representative (IAR), you’ll need to pass the Series 65 Exam (if you haven’t passed Series 7 and Series 66). This series 65 exam guide is for anyone on the path to becoming an Investment Adviser Representative…
If you fail a FINRA exam, there is a logical course of action. Here is the short version: you can retake it, you are not the first person this has happened to, and it almost never derails a securities career on its own. You…