In 2018, the Financial Industry Regulatory Authority (FINRA) streamlined its testing structure by consolidating the fundamental knowledge shared across several of the Series exams into the SIE.

Did you know there are over 30 FINRA Series exams? All of them, except for the SIE, are named by number. And no, those numbers are not consecutive. 3, 6, 7, 63, 65, and 66 are some of the most common.

Passing the FINRA Securities Industry Essentials (SIE) exam is the first step to entering the securities industry and serves as the corequisite to qualification licensing exams, i.e., Series 6, 7, and ...

Photo by Ajay Suresh via CC BY 2.0 Making matters worse, a federal court limited FINRA’s ability to expel its own members and an unrelated suit is questioning the constitutionality of its enforcement.

Finra’s settlements this week included the brokerage arms of UBS, Barclays, and Citigroup. Finra typically issues a flurry of significant settlements with broker-dealers when the calendar turns ...

Whether you’re studying for the SIE or advanced FINRA certifications, Achievable ensures you’re prepared to pass with flying colors. Learn everything you need in my Achievable FINRA Series ...