Securities Industry Essentials (SIE) Exam

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SIE Exam

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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…

Leverage the SIE exam

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…

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