SIE: Verification By Principal

Taken from our SIE Online Guide

Verification by Principal

Before signing Form U4, a principal must verify the applicant’s employment for the prior three years and attest to her character and reputation.

Once a person files a Form U4 with FINRA, it is entered into the CRD, but the registration does not become valid until the person passes the appropriate qualification exam.

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SIE: Verification By Principal

Taken from our SIE Online Guide

Verification by Principal

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