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
Conflicts of interest represent a recurring challenge that contributes to compliance and supervisory breakdowns. These breakdowns can compromise the quality of service that firms and representatives provide to their clients. We issued the Report on Conflicts of Interest in October 2013, and FINRA continues to monitor the efforts employed by firms to identify, mitigate
April 1999
How Broker/Dealers Can Address Customer Concerns About The Year 2000
Investors are aware of the potential problems caused by the coming century change. As a result, they may consider changing their investing habits and strategies leading to more frequent questioning of their brokerage firms about the Year 2000 issue.
Leading up to the new year, it is important that broker/dealers
(a) Assignment of Responsibility for General Ledger Accounts
Each capital acquisition broker must designate an associated person who is responsible for each general ledger bookkeeping account and account of like function used by the broker and such associated person must control and oversee entries into each such account and must determine that the account is current and accurate as
This data provides comprehensive information for corporate and agency bonds that traded within the past 10 years. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources, including but not limited
Many consumers have shifted their banking and investment transactions to the time-saving apps on their phones. But along with convenience, a reliance on mobile devices has attracted scammers looking to steal information and assets. A growing type of fraud exploiting mobile phone usage is known as SIM swapping.
Bonds can be issued by corporations, local municipalities, government agencies and the federal government. Performing due diligence can help you assess the many characteristics that are associated with these fixed-income securities and evaluate overall suitability with your investing needs.
This data provides comprehensive information for collateralized mortgage obligation (CMO) securities with quantities under 1 million that traded within the past 10 years. A CMO is a type of mortgage-backed security in which mortgages are bundled together and sold as one investment. Learn more about CMOs and other bond types.
Fixed income data is compiled from multiple sources, including but not
This data provides comprehensive information on mortgage-backed securities (MBSs) that traded within the past 10 years. Access up to three years real-time trade history and seven years end-of-day trade history per security. Trade history represents mortgage securities with similar characteristics, i.e., reference data ID (RDID). An MBS provides issuers with monthly payments from a pool of
