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Are You Ready For The 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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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 - Uniform State Law 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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