Featured Articles
Changes to SEC Exempt Offering Rules
Changes to SEC Exempt Offering Rules Regulation A and Regulation D In November of 2020, the Securities and Exchange Commission (SEC) voted to amend its rules in order to harmonize, simplify, and improve the exempt offering framework that it believed had become too complex.…
How FAs and Their Clients Benefit from a Life, Accident and Health Insurance License
The coronavirus crisis has underlined the importance of insurance in protecting health and wealth. It has also highlighted how long-term financial plans, no matter how brilliant, can rapidly disintegrate if the client suffers an accident, health crisis, or death. For this reason, financial advisers…
Todd Talks: Best Practices on How to Prepare for Remote Testing
In this Todd Talks episode, STC’s Chief Learning Officer, Todd Rosenfeld explains how our best practices can be adapted to better prepare you for today’s remote testing environment.
SIE Exam
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)…
Your Guide to Developing a Study Plan for the SIE Exam
Passing the Securities Industry Essentials (SIE) Exam can be challenging, but it’s certainly less so with the right approach to study and preparation. Passing the SIE Exam is your first step to becoming a securities industry professional, so you need to know what’s…