Career path
What passing the SIE does—and does not—do
Understand result validity, firm association and the qualification exam that may come next.
Passing is a foundation
FINRA states that passing SIE alone does not qualify someone for registration or securities activity. Registration generally requires association with a member firm, the applicable representative-level qualification exam and other requirements.
Know the four-year rule
Rule 1210 provides that a person may need to retake SIE when four or more years have elapsed since passing or since last being registered as a representative, whichever occurred later. Special circumstances can affect the calculation.
Match the next exam to the function
Series 6, Series 7, Series 79 and other exams correspond to different activities. A firm determines the appropriate registration and files the required application.
Keep claims precise
On a résumé, describe the result accurately. Do not claim to be licensed, FINRA-registered or authorized solely because you passed SIE.
Official sources
Confirm current fees, enrollment, accommodations, provider instructions and registration requirements before acting.