United States:
FINRA Restructures Representative-Level Qualification Examination Program
14 September 2018
Cadwalader, Wickersham & Taft LLP
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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.
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