Yes, persons associated with a broker-dealer are permitted to take both the SIE and a qualification exam on the same day. I have a Series 17 registration (IE) based on an exam (position) that was retired on October 1, 2018. 1. Our free Candidate's Complete Guide to the SIE Exam is packed with useful information. Do I still have to be associated with a broker-dealer to take FINRA qualification exams? And you probably want to know how hard the exam is. The Securities Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals. In total, the SIE exam includes 75 multiple-choice questions and 10 pretest questions that do not count towards the final score. What study materials are available for the SIE? Does the SIE have a registration category? The passing score for the SIE is 70 (on a scale of 0 to 100). Students, individuals considering a securities-industry career, and formerly registered individuals who do not have SIE credit can enroll themselves for the SIE. Although the exam requires some math and a few calculations, mostly you are being tested on how well you read the exam questions and your understanding of finance and securities concepts. Will I appear in BrokerCheck if I pass the SIE? The outline is comprised of the four sections. Is there a waiting period if I fail the SIE? 2. To report on abuse or fraud in the industry, FinPro (The Financial Professional Gateway), Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), Frequently Asked Questions about the Test Enrollment Services System (TESS)™, Candidates with Limited English Proficiency (LEP), Exam Candidates Requiring Special Accommodations, Qualification Exam Waivers and Exemptions, Permitted Activities and Other Facts about Qualification Exams. You must provide your Social Security number or, if you do not have one, your mother’s maiden name when enrolling. The outline is comprised of the four sections. FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028. Knowing definitions will not be enough. 2. So, if an individual has passed the SIE prior to joining a firm, it is a good indication that this person already has the basic aptitude and wherewithal to pass a top-off exam. Need Help? The more personal investing experience you have, the more you will be able to relate to the material. The SIE will be valid for four years from the date that you pass the exam. 1. The SIE does not have a registration category. The common content is now tested in the new Securities Industry Essentials (SIE) exam. For any attempts after the third attempt, there is also a 180-day waiting period between each exam attempt. This way everyone tests on a level playing field.


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