February 12, 2018 – FINRA released its revised representative level qualification exam outlines, which have been referred to as Specialized Knowledge Exams (SKEs) or Top-Off Exams under FINRA’s new testing procedures. As of October 1, 2018, FINRA will require new registrants to take a Securities Industry Essentials (SIE) exam followed by an appropriate SKE. While […]

Read More →

BSA Back in the Regulatory Focus Today’s geopolitical climate has caused more focus on money laundering activity related to illegal drug trafficking and terrorist financing. Consequently, regulators place higher priority on enforcing the Bank Secrecy Act (BSA), which mandates financial industry standards to detect and prevent money laundering. Therefore, examiners across the financial services industry […]

Read More →

A successful approach to preparing for your FINRA exam is often a two-pronged strategy.  You certainly need to study and know the content being tested (our study programs see to that!).  Oftentimes, however, that is not enough; you also need to beat the test.  You likely have anxiety over some of the extracurricular aspects of taking the […]

Read More →

To close the circle on an earlier blog post regarding NASAA updates to the Series 63, 65, and 66 exams: NASAA has updated the test specifications for each of its examinations to better reflect the skills and knowledge needed by broker/dealer agents and investment adviser representatives in today’s ever-changing financial industry. Content related to Series […]

Read More →