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FINRA Examination Changes and SIE
Implementation Take Effect October 1st, 2018

FINRA has announced that its exam restructuring will take effect on 10/1/18 - basically 1 year from now. At that point, registered representative exams will have 2 components that must be passed:

SIE - Securities Industry Essentials - a 75 question test on basic content for all registered representative exams

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Registered Representative
The Registered Representative licensing exams allow an individual to recommend, sell, or trade the securities covered by that test.
Series 7 - General Securities
Series 6 - Investment Companie...
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State Licensing
Uniform State Law requires that individuals who sell securities or advisory services to the public be licensed in that State.
Series 63 - Securities Agent
Series 65 - Investment Adviser
Series 66 - Combined Securiti...
Manager / Principal
These exams allow an individual to supervise persons who recommend, sell, or trade securities; or to supervise back office and accounting functions.
Series 9/10 - FINRA Branch Mang...
Series 24 - FINRA General Securities
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