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Breaking into the securities industry can seem daunting at first. This guide will help you better understand how to obtain the Series 6 and Series 7 licenses, which are typically the entry point into the securities industry.
If you are looking for more information about what a registered representative or investment advisor does, you are in the right place. Find out more about what the day-to-day of a securities industry professional is like, as well as the expected job growth over the next decade in this article.
Are you taking a FINRA qualification exam soon? Get an inside look at what happens on securities exam day at the testing center from experts at Kaplan Financial Education.
You've been studying hard for your upcoming securities license exam, but have you thought about test-taking strategies? Pass your FINRA qualification exam using these 11 test-taking tips from Kaplan experts.
DOL Fiduciary Rule: Understanding the Advantages Free Webinar
While you may or may not already know about the revised Department of Labor (DOL) fiduciary standard rule, you are no doubt wondering how that affects you and your business. Join Kaplan and our partner, think2perform, in this free webinar addressing the implications of the DOL fiduciary ruling and how your business can use it to its advantage.
The Steps to DOL Fiduciary Rule Compliance
The DOL fiduciary standard rule issued on April 8, 2016 aims to ensure that financial advice is in the best interest of retirement investors. This infographic provides couple of paths for financial professionals to ensure compliance with the DOL fiduciary standard rule.
Point of View: Update on the Proposed DOL Fiduciary Rule
Are you confused about what the DOL Fiduciary Rule will mean for you? Kaplan Financial Education’s Chuck Lowenstein provides his view on how the proposed DOL Fiduciary Rule will impact the broker-dealer community in this article.
NASAA Announces Exam Changes to Series 63, 65 & 66 Exams
The NASAA approved exam changes to Series 63, Series 65, and Series 66 license exams. These changes will take effect on July 1, 2016. Find out more about what these changes mean for you in this article from Kaplan's Chuck Lowenstein.
FINRA Proposes New Series 9 Content Outline and Qualification Exam
FINRA recently asked for approval to revamp the Series 9 (General Securities Sales Supervisor) content outline and qualification exam. Learn more from Kaplan's Mark Sanchirico in this article.
FINRA Proposes New Series 10 Content Outline and Qualification Exam
FINRA recently asked for approval to revamp the Series 10 (General Securities Sales Supervisor) content outline and qualification exam. Learn more from Kaplan's William James in this article.
Series 27 and Series 28: New Content Outline Effective December 14
FINRA just announced that its Content Outline (CO) for its two FINOP exams has been submitted to the Commission for approval. Find out what this means for you from Kaplan expert William James.
Point of View: The DOL's Proposed Fiduciary Rule
Interested in knowing how the DOL's fiduciary rule proposal could impact securities licensing procedures? Get Kaplan expert Chuck Lowenstein's perspective on it in this article.
New Jersey Now Requires Series 63 Exam for Broker-Dealers
In August 2015, the state of New Jersey began requiring the passing of the Uniform Securities Agent State Law Exam (Series 63) in order to function as an agent of a broker-dealer there. Find out what this means for you in this article from Kaplan expert, Chuck Lowenstein.
New Securities Trader and Securities Trader Principal Registration Categories
The Securities Exchange Commission recently approved FINRA's request to replace the Series 55 exam and registration category (Equity Trader) with the new Series 57 Exam (Securities Trader). Find out what that means for you from Kaplan expert, William James.
FINRA Proposes New Series 4 Registered Options Principal Content Study Outline and Qualifications Exam
Recently, FINRA proposed a new Series 4 Registered Options Principle content study outline and qualified exam. Find out more about the new exam structure proposal from Senior Editor and Instructor, Mark Sanchirico.
Changes to the Series 52 & Series 53 Content Outlines Approved
Get the latest updates on the Series 52 and Series 53 exam changes from Kaplan Securities instructor, Richard Wandell, in this article.
Follow instructor Chuck Lowenstein as he takes students through a typical risk assessment question on a Series 4 and Series 9 exam in this article.
The new Securities Industry Essentials (SIE) exam will cover common content for nine FINRA series exams. In this free guide, you will learn how the new licensing process will work, the rationale for the change, proposed SIE exam content, and potential changes to hiring and recruiting practices for firms.
Senior Editor and Instructor Mark Sanchirico provides a Security Industry Essentials exam update from FINRA's annual conference. Find out more about the timeline for implementation and what FINRA's working on between now and then.
FINRA Announces Updates to the Securities Industry Essentials (SIE) Exam Roll-Out
FINRA recently announced updates to the roll-out of the Securities Industry Essentials (SIE) Exam. Kaplan Financial Education has put together these 14 takeaways you need to know about how the SIE Exam will impact you in this article.
FINRA Securities Industry Essentials (SIE) Exam Update from ARM Conference
Kaplan Financial Education team members attended the Association of Registration Management’s (ARM) 2016 conference in Florida to learn more about upcoming changes to the exam process for Securities industry professionals. Find out what you need to know in this article.
How Will The Proposed FINRA Securities Industry Essentials (SIE) Exam Affect Licensing?
You may have heard of the new Securities Industry Essentials (SIE) exam, but what exactly is it and how does it affect you? FINRA has announced this proposed new exam, which would dramatically change the way individuals qualify to become registered in the securities industry. Find out what you need to know in this article and infographic.
Securities Industry Essentials (SIE) Exam & Representative-Level Qualifications Proposal: Member Comments
FINRA's "requests for comments" period regarding the proposal to restructure the current representative-level qualification examination program ended in late July. This article contains a brief review of the proposal and SIE Exam feedback received from members.
Get updated information about the new Securities Industry Essentials (SIE) Exam proposal from FINRA. In this article, Mark Sanchirico spells out the details of the proposal and what it will mean for current and prospective securities professionals.
FINRA has proposed a new securities industry licensing exam format. Find out more about this proposal from Mark Sanchirico and what it will mean for current and future candidates and registered personnel.