Blog: Resource

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What a Written BSA/AML Policy Must Contain9/3/2026

Every bank has a BSA/AML policy. Fewer have one that does its job. The common failure is not a missing section; it is a document that tries to be two things at once. Some policies run to a hundred pages of step-by-step instructions that no director could meaningfully approve. Others are four pages of principles that never say who does what. Neither gives examiners what they look for, which is a clear statement of how the bank meets each BSA requirement, approved by the board, with procedures ...

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Securities Exam Costs: SIE, Series 6, 7, 63, 65 and 66 Fees8/22/2026

The cost of getting securities licensed is easy to underestimate. Candidates look up the Series 7 fee, budget for it, and then discover that the Series 7 is one of three exams they need, that a late reschedule costs money, and that a failed attempt means paying the full fee again.

This guide puts the current exam fees for the SIE, Series 6, Series 7, Series 63, Series 65 and Series 66 in one table, adds up what the common license paths cost, explains who usually pays in a bank or ...

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Series 7 Study Guide: A Week-by-Week Prep Plan8/21/2026

Most Series 7 candidates in banks are not full-time students. They are personal bankers, branch staff or new investment representatives studying in the evenings and on weekends while still doing a full job. A study plan written for someone with eight free hours a day does not help them. What helps is a realistic schedule that fits around work, puts the time where the exam puts the points, and leaves room for the full-length practice that actually predicts a pass.

This guide gives you ...

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Series 7 Practice Questions with Explanations8/20/2026

The Series 7 is long, and its questions are built around what a general securities representative actually does: finding customers, opening accounts, making recommendations and processing transactions. Practice questions are the best way to get used to that format, but the explanations are where the learning happens. A practice question you get right by luck teaches nothing; one you get wrong and then fully understand is worth a dozen you skim past.

This page gives you twenty ...

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SIE Practice Questions with Explanations8/19/2026

Practice questions are the most efficient way to prepare for the Securities Industry Essentials exam, whether you study on your own or through a structured program such as our SIE Exam Prep Online Course, but only if you use them properly. Answering a question and checking the letter tells you very little. Working out why the right answer is right, and why each wrong answer ...

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