Regulatory Notice: FINRA Examination Restructuring FAQs & SIE Exam
FINRA has published interpretive FAQS regarding exam restructuring, the SIE (Securities Industry Essentials) exam and registration rule consolidation. This compliance advisory addresses the rules and interpretations below:
Former, Current and Future Registrations
Permissive Registrations
Affiliate Waiver Program
FINOP Registrations
Principal Registrations
