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So, you’ve decided to sell securities. Now that you have charted your path, let’s look at the next step: securities licensing.
Your registered representative career starts here! In this article, we break down what a registered representative does, and the five steps you need to complete in order to begin your new career.
FINRA has introduced a new exam that changes the way first-time securities license candidates earn their licensure. Find out what the Securities Industry Essentials (SIE) exam is, why FINRA introduced it, and how to qualify to sit for it in this article.
The Series 6 license, known as the Investment Company/Variable Contracts Products Limited Representative License, allows you to register as a limited representative with FINRA. Learn the process of obtaining your Series 6 license in this article.
The Series 7 license, known as the General Securities Registered Representative License, allows you to register as a registered representative with FINRA. Learn the process of obtaining your Series 7 license in this article.
Get insider tips and advice for passing the Series 7 exam from Kaplan Financial Education, a leading provider of Securities exam prep. You have what it takes. Learn how to devise and follow a study plan that gets you across the finish line.
The Series 63 exam, known as the Uniform Securities State Law Exam, allows you to solicit the purchase or sale of securities in a state. Learn the process of obtaining your Series 63 license in this article.
The Series 65 license, known as the Uniform Investment Adviser Law Examination, qualifies individuals to provide investing and general financial advice to clients as Investment Advisor Representatives (IARs). Learn the process of obtaining your Series 65 license in this article.
The Series 66 license, known as the Uniform Combined State Law Examination, is required for individuals acting as or soliciting for the service of investment advisors or soliciting the purchase or sale of securities within a state. Learn the process of obtaining your Series 66 license in this article.
The Series 79 license, also known as the Investment Banking Representative Examination (IB), allows representatives to offer advice or facilitate debt or equity offerings (public or private), mergers or acquisitions, tender offers, financial restructuring, asset sales, and divestitures or corporate reorganizations. Learn the process of obtaining your Series 79 license in this article.
The Series 99 license, also known as the Operations Professional Examination, is required for senior managers or supervisors in operations, and those who have the authority to materially commit capital in various back office functions. Learn the process for obtaining your Series 99 license in this article.
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.
Looking to gain an edge prior to sitting for the SIE exam? Kaplan has you covered. We’ve assembled this list of the nine most crucial test taking tips to prepare you to dominate on exam day.
Are you taking a FINRA or NASAA 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 NASAA or FINRA qualification exam using these 11 test-taking tips from Kaplan experts.
Most people experience some anxiety before taking a big exam; however, when worry and self-doubt start interfering with your test-taking abilities, you may be experiencing test anxiety. Follow these tips from the Kaplan team in your preparations and on exam day to build confidence and ease your mind.
What if a securities professional uses the term financial advisor? What does that mean to you? Because anyone can call himself a financial advisor, confusion reigns in the financial industry, and the SEC has finally taken steps to attempt to address that issue, and Kaplan's Chuck Lowenstein breaks down their new naming rules.
The Series 52 exam has been updated. The Municipal Securities Rulemaking Board changed the format and material tested on the Series 52 exam. Kaplan's William James details the changes in this article.
The Municipal Securities Rulemaking Board (MSRB) amended its Rule G-34, on CUSIP numbers. The amendments have resulted in a number of new changes to the rule that you will want to be aware of. Kaplan's William James details them in this article.
Stepping up quickly to fill the void left by the demise of the DOL Fiduciary Rules, the SEC announced its own long-anticipated alternate rule. Known as Regulation Best Interest, it takes a decidedly different approach.. Kaplan's William James explains.
The continuous effort to roll back and stall the Department of Labor’s fiduciary rule by the Trump White House and a sizeable number of influential plaintiffs winning in circuit courts finally worked. Kaplan's William James speculates about what's next.
FINRA passed Rule 2165 and updated Rule 4512 with the mission of better protecting senior investors. These two rules went into effect in early February 2018. Find out how these changes work, and learn what will be expected of your securities firm going forward.
Preparing to take a securities licensing exam in the future? Kaplan’s William James explains how the new tax code, introduced in December 2017, could affect the content on your upcoming exam.
The Financial Industry Regulatory Authority (FINRA) no longer offers securities qualifications exam takers the option to choose between two testing providers. Kaplan's William James explains how this change will affect those planning to sit for an exam in the future.
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.
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.
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.
Securities Industry Continuing Education (CE) programs may soon undergo significant changes if new proposals are adopted. The new ideas were floated out to firms at the 2018 FINRA Conference.
Are you looking for answers to your questions about the new Securities Industry Essentials (SIE) exam and its effect on the securities licensing process? We've been fielding questions from students ever since FINRA first announced the new exam. We've compiled the most popular questions and answers in this article to shed light on the new testing process.
FINRA's introduction of the Securities Industry Essentials (SIE) exam dramatically changed the securities licensing process. But how will it affect your firm's recruitment efforts? This article will answer that question and many more that we've been asked by partners. This article is your single-stop solution for answers to your questions about the SIE exam and how it impacts your firm.
You likely have questions about how FINRA's new Securities Industry Essentials (SIE) exam affects your university and students. Ever since FINRA first started talking about the SIE exam, we've been answering questions from our university partners, and we've now assembled them into this all-inclusive FAQ resource for universities.
The new Securities Industry Essentials (SIE) exam covers common content for nine FINRA series exams. In this free guide, you will learn how the new licensing process works, the rationale for the change, the SIE exam content, and what this means to hiring and recruiting practices for firms.
The Securities Industry Essentials (SIE) blends the general securities knowledge tested in several other exams into a single, entry-point exam. Learn more about how this move has impacted the content, structure, and length of the Series 7 examination.
The SEC has restructured the FINRA representative-level qualification examination programs by introducing the Securities Industry Essentials (SIE) Exam. Find out how what this means for anyone who wants to take the Series 6, 79, and 99 exams.
Kaplan was invited to participate in a panel titled “From the Vendor’s Point of View,” at the 2018 ARM Conference where education providers discussed both the challenges and opportunities associated with the tje Securities Industry Essentials (SIE) exam. We’ve outlined the key takeaways in this article.
Starting Your Own RIA Financial Practice
Interested in starting your own RIA financial practice? It's a good time to start out on your own with so many established advisors eyeing retirement. Here are some tips for getting started on your own from Kovar Capital CEO, Taylor Kovar.
The Good, the Bad, and the Ugly of Being Your Own Boss
Starting your own RIA firm allows you more freedom and flexibility, but it comes with risk and requires commitment. Learn the upside and downside of becoming your own boss in this article.
How to Land Your First Client (That Isn't Your Mom)
Landing your first client can be one of the biggest challenges with starting your own RIA firm. Find out how to jump start your customer acquisition efforts in this article.