Featured Articles
How to Become a Financial Risk Manager
A Financial Risk Manager (FRM) is a professional who specializes in identifying and handling risks to financial asset management. The classification is granted by the highly respected Global Association of Risk Professionals (GARP), a nonprofit founded in 1996. The GARP sets and maintains standards…
Tips on How to Survive Your First Year As a Financial Advisor
It has been determined by multiple sources that there is a small success rate for financial advisors in their first year. Many people do not survive their first year as a financial advisor. The combination of pressure to find clients, a steep learning curve,…
STC Course Update
NASAA to Update its Exam Questions Related to IA Marketing Rules on April 1, 2022 The North American Securities Administrators Association (NASAA) is updating the Series 63, 65, and 66 Examinations to incorporate information on a new rule regarding investment adviser marketing. Although these…
SIE Exam
STC Exam Update – Spring 2022
Recently, there have been a few regulatory and tax law updates which could have a minor impact on several different qualification exams. Some of these updates are changes to the current law, while others are additions. STC has either already made the necessary updates…
What Jobs Are You Qualified for After Passing the SIE Exam?
So, you’re ready to take the SIE Exam, pass it, and get started with your career in the financial industry. Well, before you do, let’s consider some of the important facts to know about what passing the exam can mean for you. This way,…
What Is the SIE Exam and Why Did FINRA Establish It?
The SIE Exam is a FINRA-administered exam that’s required for any person who’s interested in starting a career in the securities industry. Passing the SIE alone doesn’t qualify a person for registration with a FINRA member firm or qualify them to engage in securities…
How to Manage Financial Licenses and Credentials
For advisors to succeed in the financial services industry, not only do they need the required licensing, they also need the appropriate credentials. In fact, many financial firms encourage their financial advisors (FAs) to have as many credentials as possible to broaden their expertise…
How the Series 6 and 7 Exams have Changed Since the Introduction of the SIE
Are you looking to advance your career in the securities industry? You should know that recently some of FINRA’s important exams have gone through changes. In October 2018, FINRA introduced a new prerequisite exam. This new exam is the Securities Industry Essentials (SIE)…