SIE: Persons Exempt From Registration

Taken from our SIE Online Guide

Persons Exempt from Registration

A firm’s clerical personnel and employees who are not actively engaged in the investment banking or securities business, or whose functions relate solely to the member’s need for nominal corporate officers or for capital participation, are not required to be registered with FINRA. “Nominal corporate officers” include, for instance, a general counsel who does not have supervisory authority.

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Matthew Bird, Lincoln Investment. Liverpool, NY.

Passed SIE on the first attempt! The multi-prong study approach Solomon puts together - read, take notes, watch videos, practice tests, review - is very effective. By the time I had worked through the plan and used the reports to bolster my weak areas, I walked into the test center with high confidence. It took a lot of time and was hard work, but the test plan and materials made it possible.

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SIE: Persons Exempt From Registration

Taken from our SIE Online Guide

Persons Exempt from Registration

Since you're reading about SIE: Persons Exempt From Registration, you might also be interested in:

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