Jan 17, 2019

SIE

Why does my FINRA profile state t hat I passed the Securities Industry Examination (SIE) on October 1, 2018 when I have never taken such an exam?

I have passed 4 other FINRA exams, however.

Thanks.

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6 Comments

O

5y

Chasxy, have you checked out these or run a search:

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IB

5y

It's the new pre-requisite exam. Everyone who has taken an exam before October 2018 that it's a prerequisite for has that on their profile now.

Array

O

5y

Thanks. I am curious. Are the exams easier now because of this new requirement?

The designation is a bit misleading since I never actually sat for the SIE in October 2018.

Then again, if everyone in the industry understands this, then I guess it's not big deal.

IB

5y

No - they took the common/duplicated material out of the 6, 7, 22, 57, 79, 82, and 99 and combined it all into one exam. The others are now "top-off" exams that you take simultaneously. Everyone understands it and people who took the "old" exams before October 1, 2018 are grandfathered in.

Array

O

5y

Thanks. So. I guess if you take these "top off" exams at the same time as the SIE, it is not easier than the previous method?

I took the 57 over a year ago and after I passed the 7.

Does this mean that someone who passes the "top off" 7 now and later takes the 57 sits for an easier version of the 57?

IB

5y

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