Resource Center: SIE Exam

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to recruit or to retrain

To Recruit or To Retrain? That is the Question

To Recruit or To Retrain? That is the Question Every investment firm needs employees with the right mix of skills and backgrounds. Experienced employees serve as examples and mentors for those new to the industry, whereas new advisors bring energy and ambition to the…

good manager

What Does a Good Manager Look Like In a Top-Down Business?

The success of any business starts at the top. If your leaders and your management don’t inspire your employees, your business simply won’t succeed. What it means to be a good manager, and how you can train leadership that will drive your company toward…

How to improve your recruiting process

How to Get the Most Out of Your Recruiting Efforts

How to improve your recruiting process If you’re wondering how to recruit the best employees, start here. What does your recruitment style boil down to? The hiring process is a competitive market that favors job-seekers. You need to market yourself to the candidate just…

land your first client

Tips On How to Land Your First Client as an Insurance Agent

It’s only logical: If you don’t have clients, you don’t have a business. Ask any successful insurance agent and they’ll tell you there’s no better feeling than landing that first high-value client. To learn more about how you can land your first client as…

SIE Exam Tips

Tips for acing the SIE exam the first time

Taking the Securities Industry Essentials (SIE) Exam can be a nerve-wracking experience. Since the SIE Exam is the first exam that new securities professionals take, they may not know what to expect. Successful test-taking relies on thorough preparation. Securities Training Corporation provides the classes…

SIE exam for non-licensed employees

How Will the SIE Impact Your Non-Licensed Employees

  Passing the Security Industry Essentials (SIE) Exam helps people employed in the financial services industry function more independently and make wiser decisions. In effect, they become securities industry “professionals,” rather than just “workers.” Benefits of the SIE Exam for non-licensed employees The SIE…

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…

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…

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…

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