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FINRA Updates Examination Priorities for 2018
FINRA updates examination priorities for 2018 Once the Financial Industry Regulatory Authority (FINRA) updates examination priorities, you have to address changes proactively before you incur costly penalties. FINRA’s 2017 Examination Findings Report reveal new concerns, such as cybersecurity and cryptocurrency. Subsequently, FINRA published its…
The Collapse of the Protocol for Broker Recruiting and Its Effects on Salary
The original intent of the Protocol for Broker Recruiting (the Protocol) was to limit the scope of litigation if you recruit financial advisers from a competitor. Today, according to the departing Big Four wirehouses, the Protocol is obsolete and ineffective, straying beyond its real…
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…
SIE Exam
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…
How to Leverage the SIE Exam in Your Business
How to Leverage the SIE Exam in Your Business The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. The SIE Exam is…
What Does STC’s SIE Course Look Like?
What Does STC’s SIE Course Look Like? The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals. Its purpose is to assess a candidate’s basic knowledge of securities industry topics fundamental to working in the industry. The SIE Exam is a…
FINRA Releases SIE and New Top Off Passing Scores
FINRA has finally released their SIE and new Top off exam passing scores. The SIE (Securities Industry Essentials) Exam is a new, introductory-level FINRA exam for current non-registered staff members and prospective securities industries professionals who are not associated with a brokerage firm as well…
[Press Release] Securities Training Corporation Announces Securities Industry Essentials (SIE) Exam Training Package
NEW YORK–Securities Training Corporation (STC), the market leader in securities training, today announced their Securities Industry Essentials (SIE) exam training package and pricing. The SIE Exam is a new, introductory-level FINRA exam for current non-registered staff members and prospective securities industries professionals who are not associated with…