Tag: FINRA

SIE exam study guide

Your Guide to Developing a Study Plan for the SIE Exam

  Passing the Securities Industry Essentials (SIE) Exam can be challenging, but it’s certainly less so with the right approach to study and preparation. Passing the SIE Exam is your first step to becoming a securities industry professional, so you need to know what’s…

Regulating Social Media

How FINRA Is Regulating Social Media

In today’s busy world full of technological advancements, it’s becoming increasingly important to ensure that investors are protected from false or misleading claims, exaggerated statements, and material omissions when social media is used as a means of communication. Although the different forms of social…

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