Following are FAQs about the Securities Industry Essentials® (SIE®) Exam and exam restructuring. Click on the links below to view all sections of the FAQs.
On This Page
Enrollment and Eligibility
Exam Scoring, Results and Validity
Registration
Retired Exams
Enrollment and Eligibility
1. How old do I have to be to take the SIE?
You must be 18 years or older to take the SIE.
2. Do I have
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
ATS Supervision Obligations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 2020
FINRA Rule 3110
FINRA Rule 4370
FINRA Rule 5210
FINRA Rule 6190
FINRA Rule 6191
Regulatory Notice 14-10
Regulatory Notice 17-22
SEA Rule 15c3-5
SEC Regulation ATS
SEC
Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities
Update to Security Futures Risk Disclosure Statement and Supplement
ADF Operations receives and posts Denial of Access Notifications, pursuant to Rule 4300A(a)(6) to ensure that securities firms have adequate time to make other routing or access arrangements, if necessary.
View a new monthly downloadable file of all short sales which were reported to the ADF. The format and data contained in these files is detailed in the Regulation SHO: Data Dissemination document.
New FINRA360 Initiative Provides Small Firms Additional Assistance
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today launched a Small Firm Helpline, the latest in a series of actions to enhance support for small firms that have been taken as part of the FINRA360 organizational improvement program.
FINRA employees answering the toll-free Helpline, which will operate 9 a.m.
SEC Interpretive Actions related to Alternative Display Facility
On Monday, January 22, 2018, FINRA will implement changes to the TRACE for Treasuries (U.S. Treasuries) trade reporting retention period. Currently, trade reports for U.S. Treasuries transactions are held on a rolling 2-day period (T-1). Following the change, trade reports for U.S. Treasuries transactions will be retained on a rolling 3-day period (T-2).
Starting January 22, firms will be able
