Effective March 15, a new SEC regulation will change certain registration exemptions to increase and streamline access to capital. These regulatory exemptions are critical to entrepreneurs, emerging businesses, and investors because they provide less complex and lower-cost alternatives …
Tag: FINRA Changes
Hundreds of licensing and registration professionals attended the recent Securities and Insurance Licensing Association (SILA) National Education Conference on September 15 – 17 in San Diego. Members of FINRA’s Qualifications department enlightened attendees with updates ranging from recent …
We are excited to launch our brand-new On-Demand Series 7 Training Program. The new Series 7 exam was released in October of 2018. Our team has spent the six months since then fine-tuning this course based on student …
SIE and Securities Exam Program Updates from FINRA’s National Conference With six months of statistics now available, FINRA’s qualification team released results of the new Securities Industry Essentials (SIE) and top-off exams to compliance professionals gathered at its …
The new Securities Industry Essentials (SIE) Exam will change your business (read more about it here)! Over the past few months we have met with many firms individually and collectively to discuss the impact of the SIE exam …
This week is FINRA’s annual conference, and from the Knopman Marks perspective we are most excited to share an update on the status of the Securities Industry Essentials (SIE) Exam. For those of you unfamiliar with the exam …