In addition to core business practices, examiners will focus on new rules, emerging tech and investor data protection.

We've narrowed down the list based on cost ... SIA has an average 90% pass rate on all of its securities exams. The Series 63 exam (Uniform Securities Agent State Law Exam) is a 75-minute ...

If you are a boutique advisor, avoid the temptation to be a jack-of-all ... The Series 7 license is the common moniker for the General Securities Representative license. The Series 7 exam, which ...

All these topics factor into a financial advisor's day-to-day work. Most candidates devote considerable time to studying for the Series 65. The Series 65 exam is like most other FINRA exams ...

Registered adviser, fiduciary, independent adviser, investment adviser representative, RIA, licensed, designated, unbiased, what does it all ... (FINRA). The Series 65 is an exam and license ...

SEC Chair Gary Gensler reaffirms the regulator's role in protecting investors amid perennial and emerging industry risks.

The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday.

are mostly required to take exams to demonstrate that they fully understand all of the pertinent rules and regulations. They need securities licenses such as the Series 7 and 24, among others ...

These documents included insurance applications, money movement forms, change of beneficiary requests, policy service requests, and various verification forms, FINRA's order states. The ...

As SEC’s examiners dig into advisors’ Reg BI’s duty of care and duty of loyalty obligations, the exam staff expects to focus on advice provided to clients regarding products, investment strategies and ...

By creating and monitoring a manageable list of securities ... by eliminating the time that would have been wasted tracking all securities. Unexpected news or trends can trigger price swings ...

Kaplan University Kaplan makes our list with the best comprehensive ... STC publishes a success rate of 95% across all its securities exam courses. With the Series 6 exam being among the easier ...