Resource Center: SIE Exam

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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…

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…

SIE Webinar

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.…

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…

SIE exam study guide

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…

SIE exam success guide

The Guide You Need for a Successful SIE Exam Experience

The Securities Industry Essentials (SIE) exam is absolutely necessary for any individual who’s interested in joining the securities industry. However, be aware, the exam isn’t easy and many people fail it. There are a number of reasons why people fail the SIE Exam, but…

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