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It consolidates FINRA registration rules and restructures rep-level qualification exams while introducing the Securities Industry Essentials Exam (SIE). The material explains the redesigned exam approach, including reduced redundancy, streamlined processing, and minimal impact to registration rules. It details SIE structure (75 questions, 105 minutes, 4-year validity), content areas, series top-offs, discontinued exams, and how current and returning registrants will be treated. It also clarifies application timing and next-attempt rules for September and post-October 1 candidates.",{"@graph":69,"@context":123},[70,84,106],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/industry-call-on-exam-restructuring-mark-the-date-october-1-2018/394363/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/industry-call-on-exam-restructuring-mark-the-date-october-1-2018/394363.png","ImageObject",300,407,{"name":92,"@type":93},"supergirl","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-11-06","2026-09-26",true,{"@type":102,"interactionType":103,"userInteractionCount":105},"InteractionCounter",{"@type":104},"ViewAction",12,{"@type":107,"mainEntity":108},"FAQPage",[109,115,119],{"name":110,"@type":111,"acceptedAnswer":112},"What key changes take effect on October 1, 2018?","Question",{"text":113,"@type":114},"The updates consolidate FINRA registration rules, restructure rep-level qualification exams, and introduce the Securities Industry Essentials Exam (SIE). FINRA will implement the new rules and make the Essentials Exam available on October 1, 2018.","Answer",{"name":116,"@type":111,"acceptedAnswer":117},"What are the main SIE exam details (questions, duration, and validity)?",{"text":118,"@type":114},"The SIE includes 75 questions and lasts 105 minutes. The exam is valid for 4 years, and candidates can take it even if they do not work for a firm.",{"name":120,"@type":111,"acceptedAnswer":121},"Which older exams will FINRA no longer offer after October 1, 2018?",{"text":122,"@type":114},"FINRA will no longer offer Series 11, Series 17/37/38, Series 42, Series 62, and Series 72. Those holding registrations associated with these exams can continue to hold them until they leave the industry for more than 2 years.","https://schema.org",{"og:url":83,"og:type":125,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":127,"canonical":83},"index,follow",{"doc_id":129,"site_id":62},394363,1790532422,{"code":4,"msg":5,"data":132},{"doc_id":129,"user_id":133,"nickname":92,"user_avatar":134,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":105,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":140,"language":141,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":142,"faqs":143,"seo_title":144,"seo_description":67,"update_tm":145,"read_time":146,"preview_page_count":4},962088121634,"https://ap-avatar.wpscdn.com/davatar_9964176cb1d06d4a9deccf72a44ae3dc","|  |\n| --- |\n| Industry Call on Exam Restructuring\u003Cbr>FINRA\u003Cbr>Securities Industry Essentials Exam and Exam Restructuring\u003Cbr>July 31, 2018 |\n| |\n\n\n| Mark the Date – October 1, 2018 􀂃 SEC approved SR-FINRA-2017-007.\u003Cbr>􀁹 Consolidates FINRA registration rules\u003Cbr>􀁹 Restructures the rep-level qualification exams\u003Cbr>􀁹 Introduces the Securities Industry Essentials Exam\u003Cbr>􀂃 FINRA Regulatory Notice 17-30 announced the rule changes.\u003Cbr>􀂃 FINRA will implement the new rules and make available the Essentials Exam on October 1, 2018. |  |  |\n| --- | --- | --- |\n| | Firm Call on Exam Restructuring 􀁹 July 31, 2018 􀁹 Copyright 2018 FINRA | 1 |\n\n\n| Rep-level Qualification Exam Restructuring 􀂃 Respond to industry and regulatory changes\u003Cbr>􀂃 Reduce the redundancy of content across exams\u003Cbr>􀂃 Streamline the exam process\u003Cbr>􀂃 Minimize impact and change to the registration rules\u003Cbr>􀂃 Ensure registered representatives have a solid breadth of understanding of the industry\u003Cbr>|  |  |\n| --- | --- | --- |\n| | Firm Call on Exam Restructuring 􀁹 July 31, 2018 􀁹 Copyright 2018 FINRA | 2 |\n\n\n| Revised Rep-level Exam Structure \u003Cbr>Essentials Exam\u003Cbr>\u003Cbr>Series\u003Cbr>52\u003Cbr>\u003Cbr>Series\u003Cbr>79\u003Cbr>\u003Cbr>Series\u003Cbr>6\u003Cbr>\u003Cbr>Series\u003Cbr>7\u003Cbr>\u003Cbr>Series\u003Cbr>22\u003Cbr>\u003Cbr>Series\u003Cbr>57\u003Cbr>\u003Cbr>Series\u003Cbr>82\u003Cbr>\u003Cbr>Series\u003Cbr>86/87\u003Cbr>\u003Cbr>Series\u003Cbr>99 |  |  |\n| --- | --- | --- |\n| | Firm Call on Exam Restructuring 􀁹 July 31, 2018 􀁹 Copyright 2018 FINRA | 3 |\n\n\n| SIE – Answers to ‘Essential’ Questions 􀂃 How many questions? 75\u003Cbr>􀂃 How long do I have? 105 minutes\u003Cbr>􀂃 How long is it good for? 4 years\u003Cbr>􀂃 Can I take it even if I do not work for a firm? Yes\u003Cbr>􀂃 How much will the SIE cost? $60 (filing pending and SEC approval) |  |  |\n| --- | --- | --- |\n| | Firm Call on Exam Restructuring 􀁹 July 31, 2018 􀁹 Copyright 2018 FINRA | 4 |\n\n\n| SIE – ‘Essential’ Facts 􀂃 Content areas covered:\u003Cbr>􀁹 Knowledge of capital markets\u003Cbr>􀁹 Understanding products and their risks\u003Cbr>􀁹 Understanding trading, customer accounts and prohibited activities\u003Cbr>􀁹 Overview of the regulatory framework |  |  |\n| --- | --- | --- |\n| | Firm Call on Exam Restructuring 􀁹 July 31, 2018 􀁹 Copyright 2018 FINRA | 5 |\n\n\n|  |  |  |  |  |  |\n| --- | --- | --- | --- | --- | --- |\n|  | Top-offs – ‘Essential’ Facts |  |  |  |  |\n| 􀂃 Series 6 – 50 questions\u003Cbr>􀂃 Series 7 – 125 questions\u003Cbr>􀂃 Series 22 – 50 questions\u003Cbr>􀂃 Series 52 – 75 questions\u003Cbr>􀂃 Series 57 – 50 questions\u003Cbr>􀂃 Series 79 – 75 questions\u003Cbr>􀂃 Series 82 – 50 questions\u003Cbr>􀂃 Series 86/87 – 100/50 questions\u003Cbr>􀂃 Series 99 – 50 questions |  |  |  |  |  |\n| |  | Firm Call on Exam Restructuring 􀁹 July 31, 2018 􀁹 Copyright 2018 FINRA |  | 6 |  |\n\n\n| Other Features of the Restructuring 􀂃 On October 1, 2018, FINRA will no longer offer the following exams:\u003Cbr>􀁹 Series 11\u003Cbr>􀁹 Series 17/37/38\u003Cbr>􀁹 Series 42\u003Cbr>􀁹 Series 62\u003Cbr>􀁹 Series 72\u003Cbr>􀂃 Persons holding registrations associated with these exams will be able to continue to hold them until they leave the industry for more than 2 years . |  |  |\n| --- | --- | --- |\n| | Firm Call on Exam Restructuring 􀁹 July 31, 2018 􀁹 Copyright 2018 FINRA | 7 |\n\n\n| Effect on Current Registrants 􀂃 Most current registrants will be considered to have passed the Essentials Exam, and it will be valid for 4 years upon leaving the industry. CRD will reflect this .\u003Cbr>􀂃 Registrants who return between 2 and 4 years later will not need to take the Essentials Exam, only the top-off exam for the registration position .\u003Cbr>􀂃 Registrants who return more than 4 years later will need to take both the Essentials and the top-off exam . |  |  |\n| --- | --- | --- |\n| | Firm Call on Exam Restructuring 􀁹 July 31, 2018 􀁹 Copyright 2018 FINRA | 8 |\n\n\n| Preparing for October 1 􀂃 Individuals who apply for registration on or before September 30 will take their exam under the current program, even if their exam appointment date is on or after October 1.\u003Cbr>􀂃 Individuals who apply for registration on or after October 1 will take the SIE and the revised qualification exam","cbCairVFYGj2BA8X","https://ap.wps.com/l/cbCairVFYGj2BA8X","pdf",1399026,22,"English","# Mark the Date - October 1, 2018\n## Consolidation and restructuring overview\n# Rep-level Qualification Exam Restructuring\n## Goals and scope\n# Revised Rep-level Exam Structure\n## Essentials Exam series mapping\n# SIE – Answers to ‘Essential’ Questions\n## Question count, timing, validity, eligibility, and cost\n# SIE – ‘Essential’ Facts\n## Covered content areas\n# Top-offs – ‘Essential’ Facts\n## Series top-off question counts\n# Other Features of the Restructuring\n## Exams discontinued after October 1\n# Effect on Current Registrants\n## Validity and re-entry scenarios\n# Preparing for October 1\n## Application timing and retake rules","[{\"question\":\"What key changes take effect on October 1, 2018?\",\"answer\":\"The updates consolidate FINRA registration rules, restructure rep-level qualification exams, and introduce the Securities Industry Essentials Exam (SIE). FINRA will implement the new rules and make the Essentials Exam available on October 1, 2018.\"},{\"question\":\"What are the main SIE exam details (questions, duration, and validity)?\",\"answer\":\"The SIE includes 75 questions and lasts 105 minutes. The exam is valid for 4 years, and candidates can take it even if they do not work for a firm.\"},{\"question\":\"Which older exams will FINRA no longer offer after October 1, 2018?\",\"answer\":\"FINRA will no longer offer Series 11, Series 17/37/38, Series 42, Series 62, and Series 72. Those holding registrations associated with these exams can continue to hold them until they leave the industry for more than 2 years.\"}]","Industry Call on Exam Restructuring - Mark the Date October 1, 2018 | PDF",1790402470,55]