SIE: Conditions Of Individual Registration

Taken from our SIE Online Guide

Conditions of Individual Registration

Principals and representatives have certain rights and obligations associated with their FINRA registration, which comes with a two-year term. The continuance of their registration depends on their compliance with these terms.

Note: Membership applies only to firms, not individuals.

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Conditions Of Individual Registration, you might also be interested in:

Series 66 - Conflicts of Interest and Other Ethical Issues

Series 65 - 7.3.16.1. Review of Bond Nomenclature

Series 63 - Chapter Six: Federal Securities Acts

Series 66 - Investment Advisers Act of 1940

Series 53 - Exercise

Series 66 - 6.5.1 Buy and Sell Orders

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

The (SIE) exam was tough, but I was well prepared after studying with the Solomon Exam Prep guides. Having a set study schedule made this much easier to follow along. I'll definitely be using Solomon for my Series 6 and 63 exams!

Matthew Bird, Lincoln Investment. Liverpool, NY.

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

THANK YOU SOLOMON! I passed the SIE in December and Series 6 in February. I do not have a background in finance. The study materials prepared me wonderfully for the exams. I used the study schedule - took a ton of practice exams and re-read the material. Also, the testimonials were very encouraging, so I had to share that I had the same amazing experience. Thank you so much!

Candace Chavez, Cetera Investment Services. Wimberley, TX

Excellent exam preparation! Passed on my 1st attempt! SIE EXAM DO LOTS OF PRACTICE EXAMS, AND FLASHCARDS. I found the real exam question easier than the Solomon's ones. Thank you!

Gil Malamut, Prudential. New York, NY

I was able to learn, practice, and pass both my SIE and Series 6 Exams ahead of schedule, while running my agency. The information was complete and the practice questions were plentiful! I highly recommend Solomon and will continue to use them in the future!

Shawn Swank, Swank Agency Allstate Insurance, Trinity, FL

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

SIE: Conditions Of Individual Registration

Taken from our SIE Online Guide

Conditions of Individual Registration

Since you're reading about SIE: Conditions Of Individual Registration, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →