Category Archives: Prelicensing

Securities Industry Essentials for Universities

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 »

Series 6 Exam Restructure: Everything You Need to Know

By | February 13, 2018

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 »

Series 7 Exam Restructure: Everything You Need to Know

By | February 13, 2018

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 »

The Ultimate Guide to the Securities Industry Essentials (SIE) Exam

By | January 24, 2018

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 »

Introducing the New Prelicensing Student Tracking

By | January 4, 2018

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 »

The Securities Industry Essentials Exam (SIE)

By | October 3, 2017

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 »

Insurance Prelicensing Study Plans

By | September 30, 2016

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 »