SIE: License And Jurisdictional Retention

License and Jurisdictional Retention

Once an individual has passed the SIE exam, her scores will remain valid for four years. If an individual does not register with FINRA within four years of passing the SIE exam, that individual will be required to retake the exam. The same is true of an individual who leaves the industry and returns. If she returns within four years, she will not have to retake the SIE exam.

For the specialized exams, however, a registered person’s licenses remains valid for t