Resource Center: SIE Exam

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FINRA test

What FINRA Test Should You Take?

  Want to work in the securities and investment industry? Or do you want to enhance your current career? Before you jump into taking a licensing test, you should learn what’s available. The Financial Industry Regulatory Authority (FINRA) is the self-regulating body of the…

investment brokers

10 Steps to Becoming an Investment Broker

So, you’re thinking about a career as an investment broker. After all, the field has lots of perks: strong earning potential, rewards for the entrepreneurial spirit, and most brokers are highly respected in their communities. However, entry requires mastering these 10 steps to becoming…

guy doesn't pass series 7 exam

What Should You Do If You Fail the Series 7 Exam?

Few tests or certifications have the pressure attached to them that the Series 7 (also known as the Series 7 Top Off Exam) does. This is part of the reason why so many participants fail the test. Fail, and you could not only forfeit…

career in financial services

Should You Become a Financial Advisor or an Investment broker?

Should You Become a Financial Advisor or an Investment broker? If you’re considering a career in financial services, you may ultimately choose between a financial advising firm or joining a broker-dealer. Too many newcomers assume that financial advisors and brokers perform the same duties,…

Business meeting

How SIE Can Help Launch Your Financial Services Career

How the SIE Can Help Launch Your Financial Services Career The SIE Exam characteristics: Length: 75 questions + 10 experimental questions Candidates will need to be at least 18 years old The top-off exams characteristics: Series 7: 125 questions + 10 experimental questions Series…

FINRA rule

Series 52 Restructuring

The MSRB has added the Series 52 to the list of exam that will be restructured. Effective October 1, 2018, they will follow FINRA’s lead and make the SIE a prerequisite for the Series 52 top-off exam. A proposed rule change will be filed…