FINRA Delays SIE Rollout Until October 1st, 2018

FINRA has delayed rollout of the new Securities Industry Essentials Examination (SIE) until October 1st, 2018.

The new SIE will allow candidates to sit for a core qualification exam without sponsorship from a FINRA member firm. (Presently, candidates must be sponsored by a FINRA member broker/dealer to sit for the Series 6 or Series 7.) After passing the new SIE, a candidate must be sponsored by a FINRA member firm to sit for a specialty “top-off” examination (Series 6 or Series 7). Upon passing the top-off exam, the candidate is eligible to register as a new representative with that member.

FIRE is closely monitoring FINRA’s SIE implementation, and will offer a prep course well ahead of the SIE launch.

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For more information regarding the SIE and qualification exam restructuring, see the following FINRA resources:

October 2017 — FINRA Regulatory Notice 17-30:

October 2017 — FINRA announces availability of SIE on October 1, 2018:

March 2017 — FINRA Proposes Streamlining Competency Exams:

May 2016 — FINRA Annual Conference Update:

March 2016 — ARM Conference Page 78:

May 2015 — FINRA Regulatory Notice: