Tag Archives: Prelicensing

The Securities Industry Essentials Exam (SIE)

By | October 3, 2017

It is certainly not “breaking news” that FINRA (Financial Industry Regulatory Authority) will introduce a securities industry general knowledge exam to streamline the qualification exam structure for individuals entering the securities industry. Currently, an individual interested in working in the securities industry as a registered representative must be associated with a FINRA regulated broker-dealer firm and he or… Read More »