A Few Minutes with FINRA: Exam Restructuring + the SIE Exam

June 6, 2018

Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, leads a discussion with John Kalohn, Vice President, Testing & Continuing Education, and Joe McDonald, Senior Director, Qualifications & Exams, about FINRA’s exam restructuring initiative.

It includes the new Securities Industry Essentials (SIE) exam for prospective securities industry professionals, which is available starting October 1, 2018.

They explain what the SIE exam covers, how to enroll and how the new exam affects member firms. They also explain why FINRA decided to restructure “rep-level qualification exams.” (10 min. 13 sec.)