Post by cxgllc on Apr 9, 2019 7:12:23 GMT -5
Remember that the exam is intended only for people who are affiliated with broker/dealers. As such, a student must be sponsored by a broker/dealer to sit for the exam. This means that you must apply through a firm that will agree to pay for your exam.
While you don’t need any qualification prerequisites for the Series 7, it certainly helps to have some background knowledge or some experience in the financial industry.
Starting in 2018, FINRA had change the structure of the exams by introducing a prerequisite core exam called a Security Industry Essentials (SIE) exam. Candidates will be able to sit for this core qualification without sponsorship from a FINRA member firm. However, everyone will still need to apply through a firm to sit for a specialty top-off examination.
Investment Banking Compliance | CCO Company
While you don’t need any qualification prerequisites for the Series 7, it certainly helps to have some background knowledge or some experience in the financial industry.
Starting in 2018, FINRA had change the structure of the exams by introducing a prerequisite core exam called a Security Industry Essentials (SIE) exam. Candidates will be able to sit for this core qualification without sponsorship from a FINRA member firm. However, everyone will still need to apply through a firm to sit for a specialty top-off examination.
Investment Banking Compliance | CCO Company