Featured Articles
Series 54 Training Classes Are Now Available
The Series 54 Training Classes Are Now Available for purchase! What is the Series 54? Any person who supervises the activities of a municipal securities advisor will be required to pass both the Series 50 and Series 54 examinations There is no “grandfathering” provision, meaning that…
What is a Financial Industry Regulatory Authority Top-Off Exam?
The Financial Industry Regulatory Authority (FINRA) has recently made a career in securities more accessible to those starting out in the job market, as well as those looking to switch careers. The SIE Exam is a great first step on this path, as…
Is It Possible to Specialize in Private Placements As an Investment Advisor or Investment Broker?
The private placement market is a viable option for raising relatively small amounts of capital. It tends to be populated by smaller companies that do not wish to have the offering registered with the Securities Exchange Commission (SEC). Private placement issuers are not permitted…
SIE Exam
What is a Financial Industry Regulatory Authority Top-Off Exam?
The Financial Industry Regulatory Authority (FINRA) has recently made a career in securities more accessible to those starting out in the job market, as well as those looking to switch careers. The SIE Exam is a great first step on this path, as…
6 Key Steps to Landing a Securities Job By Leveraging the SIE
6 Key Steps to Landing a Securities Job By Leveraging the SIE 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…
Corporate Recruiting: Using the SIE to Recruit (Webinar)
The landscape of recruiting college students for the financial industry is vastly changing with the introduction of the SIE. How is the SIE changing college recruitment? This webinar will cover: Using the SIE to recruit the right talent from universities and colleges Recruiting Career-changers…
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’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…