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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.
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.
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.
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.
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.
FINRA passed a 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.
As of January 1, 2018, the Financial Industry Regulatory Authority (FINRA) will no longer be offering 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 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.
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.
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 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.
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.
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.
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.
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.
Are you looking for answers to your questions about the new Securities Industry Essentials (SIE) exam, and how it will affect 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 will dramatically change 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 will impact your firm.
You likely have questions about how FINRA's new Securities Industry Essentials (SIE) exam will affect 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 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.
The Securities Exchange Commission released the news we've been waiting for. Find out when the Securities Industry Essentials Exam will go into effect, and how it will change the process of earning securities licenses in the future.
FINRA has made some big announcements about the roll-out and structure of the SIE exam. Learn more about FINRA’s timeline and what the Series exams will look like in this update from Kaplan expert, Bill James.
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 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.
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.
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.
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.
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.