FINRA created a new Securities Industry Essentials ("SIE") examination and revised several of its representative-level qualification examinations. In addition, FINRA set or modified various examination fees.
In a Regulatory Notice, FINRA stated that a previously unregistered individual who is applying to be a representative on or after October 1, 2018 will be required to pass both the SIE examination and the revised representative-level examination that is applicable to the individual's role.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
