Tag Archives: Qualification Exams

FINRA Restructures Qualification Examination Program

The Financial Industry Regulatory Authority’s (‘FINRA”) restructured qualification examination program will become effective on October 1, 2018, and it will then require that all new representative-level applicants be required to take a general knowledge examination (the “SIE examination”) and a tailored, specialized knowledge examination (a revised representative-level qualification examination) for their particular registered role.   As part of … Continue reading FINRA Restructures Qualification Examination Program