Securities

The latest securities news, FINRA CE updates, and expert insights to keep you compliant and informed.

Securities Career Exam Prep: Series 6, Series 7, Series 63, Series 65, SIE Exam

An expert overview of the securities industry series 6, 7, 63, 65, and SIE exams to help you launch a career in finance, investing, or trading.

Button

2026 SEC Examination Priorities Key Focus Areas & What to Expect spotlight blog graphic

Spotlight: 2026 SEC Exam Priorities

Button

2026 SEC Exam Priorities Reviewing Key Focus Areas & What to Expect blog text over securities professional typing on a laptop

SEC Examination Priorities 2026: Key Changes & Preparation Guide

Button

Why Securities Exam Prep is Professional Development

Button

Securities Industry Essentials (SIE) Exam Prep Best Practices - The Ultimate Step-by-Step Guide blog image

Best Practices for Passing the SIE Exam: A Step-by-Step Guide

Button

Compliance & Renewals >

SEC Financial Responsibility Rules blog image

SEC Financial Responsibility Rules for Broker-Dealers

Button

Broker-dealers have certain financial responsibility requirements imposed under the Securities Exchange Act of 1934 (Exchange Act). These rules are in place to help to protect customers from adverse consequences should a broker-dealer suffer from financial failure or collapse.

Button

National Futures Association (NFA) Training Program Compliance Courses

Button

WebCE is excited to announce three new NFA courses on Anti-Money Laundering, Cybersecurity, and Ethics to help keep your firm compliant.

Button

Get Licensed >

Why Securities Exam Prep is Professional Development

Button

Kicking off a career with momentum and finding early success in the securities industry begins at an often-overlooked place: securities exam prep.

Button

Best Practices for Passing the SIE Exam: A Step-by-Step Guide

Button

Proven steps to help you pass the Securities Industry Essentials (SIE) Exam from the exam prep experts.

Button

How to Pass a FINRA Securities Exam blog image with person celebrating - SIE Series 6 7 63 65 66

How to Pass a FINRA Securities License Exam

Button

Passing a FINRA securities license exam takes preparation. From FINRA exam outlines to practice exams, create a study plan to pass the first time.

Button

Professional Development >

The Boiler Room Scam: How to Protect Yourself

Button

Scammer tactics have evolved along with technology and changing communication methods. One older scam tactic that has seen a revival is “cold calling” boiler rooms and their modern investment scheme equivalents.

Button

Common Money Laundering Schemes Your Firm Should Know About

Button

Six examples of how the most common money laundering schemes work and anti-money laundering efforts firms can take to prevent them.

Button

Industry News >

Spotlight: 2026 SEC Exam Priorities

Button

A concise breakdown of the SEC's Fiscal Year 2026 Examination Priorities and what they mean for investment advisers, broker-dealers, and compliance professionals.

Button

SEC Examination Priorities 2026: Key Changes & Preparation Guide

Button

A deep dive into the 2026 SEC Exam Priorities. We break down the shift from documentation to execution and what it means for AI, Reg BI, and compliance risk.

Button

Complete Guide to NASAA's IAR Examination Validity Extension Program (EVEP) securities industry blog image

All About NASAA's IAR Examination Validity Extension Program (EVEP)

Button

A Complete Guide to NASAA's Investment Advisor Representative (IAR) Examination Validity Extension Program (EVEP)

Button