The Securities Industry Essentials (SIE) Exam is being implemented as an entry-level exam testing knowledge of basic industry concepts. The exam will focus on four main areas: Knowledge of Capital Markets Understanding Products and their Risks Understanding Trading, Customer Accounts and Prohibited Activities, and Overview of the Regulatory Framework Examples of topics include: the basic characteristics of investment… Read More »
The Securities & Insurance Licensing Association (SILA) Foundation hosted an educational webinar led by Joe McDonald, the Senior Director of Testing and Continuing Education for the Financial Industry Regulatory Authority (FINRA). McDonald discussed the forthcoming updates to FINRA’s qualification exam program, namely the structure of the new Securities Industry Essentials (SIE) exam and the revisions made to… Read More »
Beginning October 1, 2018, prospective securities industry professionals looking to become registered with a firm at the representative level will be required to pass the new Securities Industry Essentials (SIE) exam in addition to a revised representative-level qualification exam. These exams are considered “corequisites” in meeting the exam requirement and obtaining a registration. This means there is no… Read More »
Beginning October 1, 2018, prospective securities industry professionals looking to become registered with a firm at the representative level will be required to pass the new Securities Industry Essentials (SIE) exam in addition to a revised representative-level qualification exam. These exams are considered “corequisites” in meeting the exam requirement and obtaining a registration. This means there is no… Read More »
Beginning on October 1, 2018, those looking to become registered as a securities industry professional will have to pass the Securities Industry Essentials (SIE) exam and a FINRA representative-level qualification “top-off” exam. What information does the SIE cover? FINRA released the new Securities Industry Essentials exam outline on January 12, 2018. This is an introductory-level exam that will… Read More »
We are excited to announce the New Prelicensing Student Tracking available in January 2018. What’s new? Insights automatically group students by progress and performance Improved hierarchy and team management Track licensing exam results Search, sort, and filter Create and export customized reports Activity stream of course progress Show and hide courses or students What do I need… Read More »
It is certainly not “breaking news” that FINRA (Financial Industry Regulatory Authority) will introduce a securities industry general knowledge exam to streamline the qualification exam structure for individuals entering the securities industry. Currently, an individual interested in working in the securities industry as a registered representative must be associated with a FINRA regulated broker-dealer firm and he or… Read More »
This is it, the moment you have been preparing for – the State Exam. Once you are checked-in at the test center, there is nothing else you can do to prepare… Or is there? 1. Pay Attention to Surroundings As you enter the testing center, be aware of your surroundings. Know where the restrooms and exit are and the… Read More »
You have worked hard, followed the your study plan, studied the content, watched the videos, taken practice tests, and successfully completed all insurance licensing requirements. Now it’s time for the BIG DAY – taking your state exam! You are ready to do this and you must have confidence. Manage the things you can control to reduce stress, as opposed… Read More »
A.D. Banker has developed free Insurance Prelicensing Study Plans to help you stay on track during your studies and complete your education quickly so you can get your license and start growing your career. Scheduling your state exam before you start your study plan will help you pass your state exam on the first attempt. Your state exam should be scheduled one… Read More »