Every year, the team at Knopman Marks spends a day volunteering in the communities where we live and work to…
When Jim Campbell made his first volunteer trip to a foster home in Ecuador, he wanted to help but was…
In an exceptional showing, this year’s Wall Street class achieved a 98.59% pass rate across the major qualification exams. The results reflect the…
The SEC’s New Marketing Rule for Investment Advisers modernizes requirements for adviser advertising and solicitation. These changes are the first…
Don Parker considers teaching a personal calling, a chance to help the next generation of investment professionals launch meaningful careers. “I’m excited to guide students not only to master the material so…
In FINRA’s October 2018 exam restructuring, the legacy Series 7 Exam (aka the General Securities Representative Exam) was effectively split…
The Securities Act of 1933 is referred to as the “truth in securities” law and has two basic objectives: Requires…
Career changers, undergraduates hoping to work in the securities industry, and anyone looking to land a job in financial services…
Once you’ve earned a securities license, you realize that a lot of time and effort went into the process. These…
Taking and passing the Series 7 Top-Off Exam is necessary for launching many financial industry careers. Sitting for this exam…
If you’re reading this article, you’ve probably already taken a securities licensing exam or two. So it’s on to the…
Are the Questions on the SIE Exam Different from Those on the Series 7 Top-Off Exam? In FINRA’s October 1,…
Update May 21, 2020: The COVID-19 pandemic changes some of the logistics around SIE exam registration and remote testing. See…
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