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Securities Related Articles and Career Information

Securities Related Articles and Career Information

Securities Industry - Registered Representatives and Investment Advisor Information - Kaplan Resource Center

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How to Get the Series 6 License - Kaplan Financial EducationHow to Get Your Series 6 License

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. 

 

 


How to Get the Series 7 License - Kaplan Financial EducationHow to Get Your Series 7 License

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. 

 

 


How to Get the Series 63 License - Kaplan Financial EducationHow to Get Your Series 63 License

The Series 63 exam, known as the Uniform Securities State Law Exam, allows you to solicit the purchase or sale of securities within a state. Learn the process of obtaining your Series 63 license in this article. 

 

 


How to Get the Series 65 License - Kaplan Financial EducationHow to Get Your Series 65 License

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. 

 

 


How to Get the Series 66 License - Kaplan Financial EducationHow to Get Your Series 66 License

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. 

 

 


How to Get the Series 79 License - Kaplan Financial EducationHow to Get Your Series 79 License

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. 

 


How to Get the Series 99 License - Kaplan Financial EducationHow to Get Your Series 99 License

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.

 

 

 

Securities Industry At-a-Glance - Registered Representatives and Investment Advisors - Kaplan Financial EducationSecurities Industry At-a-Glance

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.

 

 


What to Expect on the Day of Your Securities (FINRA) Exam - Kaplan Financial EducationWhat to Expect on the Day of Your Securities (FINRA) Exam

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.

 

 


Test-Taking Strategies for Securities (FINRA Exams) - Kaplan Financial EducationTest-Taking Strategies for Securities (FINRA) Exams

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.

 

 


Overcoming Test Anxiety for FINRA Exams - Kaplan Financial EducationOvercoming Test Anxiety for Securities (FINRA) Exams

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. 


The Securities and Exchange Commission Adopts T+2 - Kaplan SchweserThe Securities and Exchange Commission Adopts T+2

In September 2017, the SEC is adopting the T+2 requirement for stocks, bonds, municipal securities, and other related products. Explore how this change will impact broker-dealers and securities licensing in this article from Kaplan expert, William James. 

 

 


What Broker-Dealers and Advisors Need to Know About the DOL Fiduicary Rule - Kaplan Financial EducationWhat Broker-Dealers and Advisors Need to Know About the DOL Fiduciary Rule

The DOL fiduciary rule is expected to be toughest on small, independent broker-dealers and IAR firms. Learn how shifting your practice to a holistic, advice-based fee structure will help you thrive in this new era of financial services. 

 

 


Understanding the Advantages of the DOL Fiduciary Rule - Kaplan Financial EducationDOL 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.

 

 

Steps to DOL Fiduciary Rule Compliance - Kaplan Financial EducationThe 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.

 

 


Update on the Proposed DOL Fiduciary Rule - Kaplan Financial EducationPoint 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 Changes to the Series 63, 65, and 66 Exams - Kaplan Financial EducationNASAA 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.

 

 


POV: The DOL's Proposed Fiduciary Rule - Kaplan Financial EducationPoint 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 - Kaplan Financial EducationNew 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 & Securities Trader Principal Registration Categories - Kaplan Financial EducationNew 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.

 

 

Trade Blotters and Recognizing Risk - Kaplan Financial EducationTrade Blotters and Recognizing Risk...Can You?

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.

A Candidate's Complete Guide to the New SIE Exam - Kaplan Financial EducationA Candidate's Complete Guide to the New SIE Exam

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. 


 

 

SIE Exam updates from FINRA Annual Conference - Kaplan Financial EducationSecurities Industry Essentials (SIE) Qualification Exam Update from FINRA's Annual Conference

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 SIE Exam Roll-Out Updates - Kaplan Financial EducationFINRA 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 SIE Exam Update from ARM Conference - Kaplan Financial EducationFINRA 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.


 

 

FINRA SIE Exam: Securities Licensing Changes - Kaplan Financial EducationHow 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.





SIE Exam and Representative Level Qualifications Proposal - Kaplan Financial EducationSecurities 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.

 

 

Qualified Exam Restructuring - Securities Industry Essentials Exam (SIE) Top-Off Exam Update - Registered Representatives and Investment Advisors - Kaplan Financial EducationQualification Examinations Restructuring: Securities Industry Essentials (SIE) Exam & Top-Off Exam Update

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 Proposes New Securities Industry Licensing Exam Format - Kaplan Financial EducationFINRA Proposes New Industry Licensing Exam Format - Kaplan Has You Covered!

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.

Starting Your Own RIA Financial Practice - Kaplan Financial Education

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 - Kaplan Financial Education

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.


 

 

The Good, the Bad, and the Ugly of Being Your Own Boss - Kaplan Financial Education

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.