Resource Center: SIE Exam

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SIE Exam Tips

Tips for acing the SIE exam the first time

Taking the Securities Industry Essentials (SIE) Exam can be a nerve-wracking experience. Since the SIE Exam is the first exam that new securities professionals take, they may not know what to expect. Successful test-taking relies on thorough preparation. Securities Training Corporation provides the classes…

technology

STC Is Training Students Not Just For Today

Securities Training Corporation (STC) training develops students not just for today but to the everchanging landscape of the financial services and insurance industry. Todd Rosenfeld and John Marucco will take you on a tour of how STC is leveraging higher education and technology combined…

SIE Exam Tips

Tips for acing the SIE exam the first time

Taking the Securities Industry Essentials (SIE) Exam can be a nerve-wracking experience. Since the SIE Exam is the first exam that new securities professionals take, they may not know what to expect. Successful test-taking relies on thorough preparation. Securities Training Corporation provides the classes…

SIE exam for non-licensed employees

How Will the SIE Impact Your Non-Licensed Employees

  Passing the Security Industry Essentials (SIE) Exam helps people employed in the financial services industry function more independently and make wiser decisions. In effect, they become securities industry “professionals,” rather than just “workers.” Benefits of the SIE Exam for non-licensed employees The SIE…

sie and insurance agent

How the SIE Can Help You as an Insurance Agent

  The traditional separation between selling insurance and investment products has begun to erode over the past decade. As the U.S. population ages and more women have entered the workforce full-time, investors demand investment products tailored to their particular interests and lifestyle as well…

FINRA Examination Process

FINRA’s Member Firm Examination Process

Updates to FINRA’s member firm examination process FINRA examiners have the difficult task of reviewing member firms and assessing risk. This association regulates more than 3,700 brokerages and 630,000 registered representatives in total. In order to help improve their member firm examination process, FINRA…

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