Investment Adviser Representatives (IARs) are required to complete annual continuing education (CE) to maintain their registration. Missing the IAR CE deadline does not immediately stop you from doing business, but it does trigger a series of consequences that can become serious if not addressed quickly. Here’s what happens if you miss the deadline,…
Thinking about a career in the securities industry? The Securities Industry Essentials (SIE) Exam is your first step toward a rewarding finance career. This all-inclusive guide offers everything you need to succeed, equipping you with the essential tools and information to pass the SIE…
Starting a career in securities often means mapping out the right order for your licensing exams, and one of the questions candidates face is when to take the Series 66 exam. Take it too early and you may not be ready. Wait too long and you could…
Investment Adviser Representatives (IARs) are at the forefront of the financial industry, providing essential advice to clients. To maintain this trusted position, IARs must stay current with industry regulations, best practices, and ethical standards. This is achieved through Investment Adviser Representative Continuing Education (IAR CE). Meeting the annual IAR CE requirements…
A major change is here for Investment Adviser Representatives (IARs) in the Land of Lincoln. Illinois has officially joined the growing list of states mandating continuing education for IARs in 2026. This new rule underscores the state’s commitment to investor protection and ensures that…
The One Big Beautiful Bill (OBBB) brings a sweeping overhaul to the tax landscape, profoundly impacting individuals, businesses, and the financial advisory sector. For securities professionals, understanding these changes is critical to advising clients effectively and navigating the updated regulations. The OBBB could reshape…
👉 XCEL Insurance Training Solutions 👉 STC Securities Training Solutions In today’s competitive financial landscape, success often hinges on more than just a strong foundation in investments or market knowledge. Clients are looking for comprehensive financial advice, and they often expect their advisors to…
The Securities Industry Essentials (SIE) exam is absolutely necessary for any individual who’s interested in joining the securities industry. However, be aware, the exam isn’t easy and many people fail it. There are a number of reasons why people fail the SIE Exam, but…
As is the case with many new regulations, the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) created by the North American Securities Administrators Association (NASAA) is generating a number of questions. The following information addresses the most frequently asked questions regarding…