![]() Now you no longer need a FINRA member sponsor to begin your securities credentialing. ![]() In other words, you had to receive a job offer contingent on your passing those tests. Before the reorganization, the typical path to working in securities was to get your Series 7 (general principles/federal law) and Series 63 (state law) to become a General Securities Representative (though there were alternatives like the more limited Series 6.) In order to take these tests you first had to have a FINRA member sponsor you. ![]() The Financial Industry Regulatory Authority (FINRA) reorganized the initial securities exams in what I believe to be a smart improvement. It just became available on October 1st, 2018. The Securities Industry Essentials Exam (SIE) is a new test.
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