; Think you know enough about the SIE? | Vertafore

Webinar Details


The webinar features FINRA’s Senior Director Joe McDonald and Industry Expert Lisa Roth who will show you how to implement the new FINRA Securities Industry Essentials Exam, and related new FINRA Rules. 

Topics covered include:

  • Essential features of the SIE
  • Top Off exams including descriptions of the new and planned exams
  • Retired exams and new principal positions
  • Implementation deadlines and strategies
  • Practical implications and creative deployment strategies
  • Consolidated Registration Rules including permissive registrations


Please complete the form to watch the on-demand webinar.