What is an Investment Adviser Representative (IAR)?
An Investment Adviser Representative (IAR) is any partner,...
If you are new to the securities industry, you are most likely confused about the various licensing examination...
Step 1 – The Securities Industry Essentials (SIE) Exam
Beginning October 1, 2018, those looking to become registered as...
What is the Securities Industry Essentials exam (SIE)?
The Securities Industry Essentials (SIE) Exam is being implemented as an entry-level exam testing knowledge of basic...
Beginning October 1, 2018, prospective securities industry professionals looking to become registered with a firm at the...
Beginning October 1, 2018, prospective securities industry professionals looking to become registered with a firm at the...
Beginning on October 1, 2018, those looking to become registered as a securities industry professional will have to pass...
It is certainly not “breaking news” that FINRA (Financial Industry Regulatory Authority) will introduce a securities...
