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Taking the Exam

Taking the Exam

  If you need to make a test appointment or get answers to questions related to your test appointment, call 1 (800) 578-6273 or 1 (866) 396-6273. Users of this testing system do not require prior experience in operating computer terminals. In fact, before starting your examination, you will be given…

Securities and Exchange Commission- Settlement Rule Change

Effective on September 5, 2017, the Securities and Exchange Commission (SEC) amended the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (T+3) to two business days after the trade…

FINRA rule

Series 52 Restructuring

The MSRB has added the Series 52 to the list of exam that will be restructured. Effective October 1, 2018, they will follow FINRA’s lead and make the SIE a prerequisite for the Series 52 top-off exam. A proposed rule change will be filed…

FINRA rule

FINRA Rule 3210 

Accounts at Other Broker-Dealers and Financial Institutions For supervisory reasons, member firms are required to monitor the personal accounts that their employees (both clerical and registered persons) open or establish with a firm other than the one at which they are employed. For example,…

FINRA Rules

Revised Rule 147 and Regulation D

  What’s Permitted? Current Rule 147 permits the sale of securities without SEC registration to residents of a single state (intrastate exemption) if the corporation is organized in that same state and: At least 80% of the assets are located, revenues are generated, and…

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