FINRA has released updates about the implementation of the SIE exam in a Regulatory Notice posted

FINRA has announced a delay in the launch of the Securities Industry Essentials (SIE) exam.  Thei

The SIE exam will be a required licensing credential for all new hires going into financial servi

The controversial Fiduciary Rule is for real.  Even though many in the industry assumed further d

The new Securities Industry Essentials (SIE) Exam will change your business (read more about it h

This week is FINRA’s annual conference, and from the Knopman Marks perspective we are most excite