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March 5 2018 - NRS Insights

So You Want To Work in the Securities Industry? The odds have been tipped in your favor

Have you dreamed of a lucrative career on Wall Street, but thought that the barriers to entry were too high? As of October 1, 2018, that bar will be lowered a bit. You may have heard that the qualifications process for entering the securities industry is getting a major makeover.
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February 13 2018 - NRS Insights

FINRA Releases Specialized Knowledge Exam Outlines

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.
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February 7 2018 - NRS Insights

New Rules Help Prevent the Financial Exploitation of Senior and Vulnerable Adults

On February 5, 2018, two FINRA rules designed to lessen the financial exploitation of seniors and vulnerable adults (“specified adults”) have taken effect. Specified adults are persons 65 years of age or older or those persons with mental or physical disabilities that impair their abilities to engage in financial transactions.
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January 30 2018 - NRS Insights

What You Should Know Before Opening Your Exam Window This Summer/Fall!

FINRA’s transition from the current licensing exam requirements to the Securities Industry Essentials (SIE) and Specialized Knowledge Exam (SKE) raises many questions for candidates who will be testing this fall.
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January 29 2018 - NRS Insights

SEC Chair vows to increase Investment Adviser Examinations

Despite deregulatory fever reaching high pitch in Washington D.C., broad reliance by investment advisers and broker dealers on such efforts may be misplaced in 2018. On the contrary, many industry experts and followers expect the pace of rulemaking and oversight to pick up this year.
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January 17 2018 - NRS Insights

FINRA releases final SIE exam outline and confirms effective date; specialized exam outlines to be released soon!

FINRA is radically restructuring its representative-level qualification exam program beginning October 1, 2018. Here’s what you can expect:
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November 17 2017 - NRS Insights

Heads Up: Year-End Is The End for FINRA Testing at Pearson VUE

Beginning January 1, 2018, Prometric will be the exclusive test facility for FINRA and FINRA client exams. In other words, December 31, 2017 will be the last day candidates may test at Pearson VUE facilities.
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Fircosoft Filter Technology
November 9 2017 - NRS Insights

DOL Sends Final Rule to Extend Applicability Date of the Fiduciary Rule to the OMB

On Wednesday, November 1 the DOL submitted final amendments to the Office of Management and Budget that would extend the Transition Period for the Fiduciary Rule. A copy of the final rule is not available at this time; however, the DOL had proposed in August that the Transition Period be extended from January 1, 2018 to July 1, 2019.
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October 12 2017 - NRS Insights

FINRA Delays SIE Rollout Until October 1st, 2018

The new SIE will allow candidates to sit for a core qualification exam without sponsorship from a FINRA member firm. (Presently, candidates must be sponsored by a FINRA member broker/dealer to sit for the Series 6 or Series 7.) After passing the new SIE, a candidate must be sponsored by a FINRA member firm to sit for a specialty “top-off” examination (Series 6 or Series 7). Upon passing the top-off exam, the candidate is eligible to register as a new representative with that member.
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October 9 2017 - NRS Insights

FINRA Updates (Fixes?) Its Definition of Nonpublic Arbitrator . . .

FINRA Updates (Fixes?) Its Definition of Nonpublic Arbitrator… and Pulls Talent from the Bench! The SEC has approved FINRA’s proposed amendments to the definition of nonpublic arbitrator contained in FINRA’s Code of Arbitration Procedure.
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