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Are You Ready ForThe SIE Exam?
The Securities Industry Essentials (SIE) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. Whether you are a working professional or just starting out, we can help bring you up to speed with SIE.
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2018 Tax Law Changes - Impact On The Securities Licensing Exams
The impact of the 2018 tax law changes on the items tested on the securities licensing exams is minimal. The biggest changes are major reductions to corporate tax rates and pass-through businesses, both of which are not tested on the exams.
Note that with major changes like this, the usual procedure is to "turn off" the affected questions and rewrite them, reintroducing them into the exam at a later date. For the first few months of 2018, this should be the case. Here are the changes that will affect the exams...
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The Registered Representative licensing exams allow an individual to recommend, sell, or trade the securities covered by that test.