FINRA Candidates and firms may now schedule online examination appointments for Securities Industry Essentials (SIE), Series 6, and Series 7 exams and NASAA's Series 63, Series 65 and Series 66 exams. Continue reading to learn more.
Regulation Best Interest took effect on June 30, 2020 and imposes an obligation on broker/dealers and registered representatives or associated persons to act in the best interest of individual retail customers at the time recommendations are made. Continue reading for additional information and to view the course addendum for Securities Industry Essentials (SIE), and Series 6, 7, 24 and 26.
ExamFX recently expanded and upgraded their video-based learning tool, OnDemand Videos, for the Series 6 Securities course. Continue reading for more information.
Series 65 and Series 66 Securities courses have been updated effective immediately. Continue reading to view the Series 65 and Series 66 course addendum.
The SECURE Act of 2019 and Required Minimum Distribution (RMD) rules for qualified plans were made effective January 1, 2020. The following ExamFX Securities courses have been updated in accordance with these changes: Securities Industry Essentials (SIE), Series 6, Series 7, Series 65, Series 66, Series 24, and Series 26. Continue to view the associated course addendum.
FINRA is updating the Securities Industry licensing process on October 1, 2018, with the introduction of the SIE exam. In order to align with these upcoming changes, ExamFX is excited to announce the launch of our new Securities Training Programs.