As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A final FINRA production User Acceptance Test (UAT) will occur on Saturday, April 10, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email&
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A second FINRA production User Acceptance Test (UAT) will occur on Saturday, March 20, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email
On September 3, 2016, firms migrated from the Pre-Pilot Data Security List to the Pilot Security List. During the month of September, for the purposes of data collection, all securities on the Pilot Security List (with the exception of any test securities that may be included) are in the Control Group. Securities will be moved into the Test Groups, as appropriate, once the
1. Which exams can I take online without meeting additional requirements?
Online test delivery is available to candidates with open enrollment windows for the Securities Industry Essentials (SIE) exam. For all other exams, please review the Schedule an Exam page for instructions.
2. What are the criteria to take exams other than the SIE online?
Effective June 9, 2023, the criteria to
FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and by-laws. Designated firm contacts are used to facilitate member voting in FINRA elections, compliance with various rules and by-laws, and to improve FINRA's communication with our member firms.
Recently, FINRA's Market Regulation and Transparency Services (MRTS) team realigned its structure around specific functions, rather than around specific rules or products. On this episode, we hear from three of the group's senior leaders to learn how the change allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more.
You might know if the stock market is going up or down, but do you know what sectors are driving returns? The use of sectors is one of the most common ways to characterize markets, and the most used system is the Global Industry Classification System (GICS).
Following are FAQs about the Securities Industry Essentials® (SIE®) Exam and exam restructuring. Click on the links below to view all sections of the FAQs.
On This Page
Enrollment and Eligibility
Exam Scoring, Results and Validity
Registration
Retired Exams
Enrollment and Eligibility
1. How old do I have to be to take the SIE?
You must be 18
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
