The Financial Industry Regulatory Authority (FINRA) is planning to restructure the testing for nine of the securities series licenses after identifying that they contain common content. The proposal would allow for an individual to take an industry core exam, to be called the Securities Industry Essentials (SIE) Exam, without first being sponsored by an industry member firm, as is now currently required. Because the SIE Exam will be the first step for a majority of new candidates to the industry, it will be essential for corporations and individuals to be informed of the proposed changes and understand how it affects the industry.
Kaplan is committed to keeping you informed and intends to be ready with study materials for the SIE, as well as for the Series 6 and 7 specialized knowledge exams in time for the implementation.
The new Securities Industry Essentials (SIE) exam will cover common content for nine FINRA series exams. In this free guide, you will learn how the new licensing process will work, the rationale for the change, proposed SIE exam content, and potential changes to hiring and recruiting practices for firms.
Kaplan Senior Editor and Instructor Mark Sanchirico provides a Security Industry Essentials exam update from FINRA's annual conference. Find out what FINRA is saying about their timeline for implementation.
FINRA recently announced updates to the roll-out of the Securities Industry Essentials (SIE) Exam. Kaplan Financial Education has put together these 14 takeaways you need to know about how the SIE Exam will impact you in this article.
Kaplan Financial Education team members attended the Association of Registration Management’s (ARM) 2016 conference in Florida to learn more about upcoming changes to the exam process for Securities industry professionals. Find out what you need to know in this article.
You may have heard of the new Securities Industry Essentials (SIE) exam, but what is it and how does it affect you? FINRA announced this proposed new exam, which would dramatically change the way individuals qualify to become registered.
FINRA's "requests for comments" period regarding the proposal to restructure the current representative-level qualification examination program ended in July. This article contains a review of the proposal and SIE Exam feedback from members.
Qualification Examinations Restructuring: Securities Industry Essentials (SIE) Exam & Top-Off Exam Update
Get updated information about the new Securities Industry Essentials (SIE) Exam proposal from FINRA. In this article, Mark Sanchirico details the proposal and what it means for the industry.
FINRA Proposes New Industry Licensing Exam Format - Kaplan Has You Covered!
FINRA has proposed a new securities industry licensing exam format. Find out more about this proposal from Mark Sanchirico and what it will mean for current and future candidates and registered personnel.