Town Hall Takeaways: Make Way for the Securities Industry Essentials (SIE) Examination
FINRA’s restructured qualification exam program is a game changer for the securities industry and its protocol for bringing new registered…
FINRA provided significant updates on the upcoming Securities Industry Essentials Exam (SIE) and corresponding “top-off” exams at the recent Association…
We’ve all heard that practice makes perfect. This old saying couldn’t be more true than when you’re preparing for an…
Feeling stressed is normal when taking an exam. In fact, it can be a good thing because it helps you…
FINRA has released 3 additional content outlines for its exam restructuring initiative which launches October 1, 2018. The Series 6,…
The Securities Act of 1933 is referred to as the “truth in securities” law and has two basic objectives: Requires…
As a candidate preparing for a state securities exam – Series 63, Series 65, or Series 66 – it is…
FINRA’s new Securities Trader Qualification Examination – the Series 57 – is on the way. FINRA has filed a proposed…
When a security transaction (e.g. a purchase or sale of securities) is not completed according to the terms to the…
New Research Rules FINRA’s released new research rules which generally: – reduce the research quiet periods following IPOs and secondary offerings,…
UPDATE 5/29: FINRA has put out a request for comment and a proposed draft Securities Industry Essentials Examination (SIE) Content Outline…
FINRA’s extensive Exam Restructuring Program launches October 1, 2018. It radically changes the existing representative registration process by replacing the…
Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Updates Rule 147 was…
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