Industry Call on Exam Restructuring
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1 Industry Call on Exam Restructuring FINRA Securities Industry Essentials Exam and Exam Restructuring July 31, 2018
2 Mark the Date October 1, 2018 SEC approved SR-FINRA Consolidates FINRA registration rules Restructures the rep-level qualification exams Introduces the Securities Industry Essentials Exam FINRA Regulatory Notice announced the rule changes. FINRA will implement the new rules and make available the Essentials Exam on October 1, Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 1
3 Rep-level Qualification Exam Restructuring Respond to industry and regulatory changes Reduce the redundancy of content across exams Streamline the exam process Minimize impact and change to the registration rules Ensure registered representatives have a solid breadth of understanding of the industry Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 2 2
4 Revised Rep-level Exam Structure Series 99 Series 6 Series 7 Series 86/87 Essentials Exam Series 22 Series 82 Series 52 Series 79 Series 57 Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 3
5 SIE Answers to Essential Questions How many questions? 75 How long do I have? 105 minutes How long is it good for? 4 years Can I take it even if I do not work for a firm? Yes How much will the SIE cost? $60 (filing pending and SEC approval) Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 4
6 SIE Essential Facts Content areas covered: Knowledge of capital markets Understanding products and their risks Understanding trading, customer accounts and prohibited activities Overview of the regulatory framework Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 5
7 Top-offs Essential Facts Series 6 50 questions Series questions Series questions Series questions Series questions Series questions Series questions Series 86/87 100/50 questions Series questions Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 6
8 Other Features of the Restructuring On October 1, 2018, FINRA will no longer offer the following exams: Series 11 Series 17/37/38 Series 42 Series 62 Series 72 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. Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 7
9 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. 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. Registrants who return more than 4 years later will need to take both the Essentials and the top-off exam. Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 8
10 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. Individuals who apply for registration on or after October 1 will take the SIE and the revised qualification exam (i.e., SIE + Series 7). Individuals who take and fail an exam in September will take, as their next attempt, the SIE and the revised qualification exam on or after October 1. Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 9
11 Essentials Exam Enrollment Options for Firms Through CRD, there will be two options for a firm to request an enrollment for the Essentials Exam: Form U4: request a rep-level registration (e.g., GS request opens SIE and S7 exam enrollments) Non-Form U4: enrollment system Individual one at a time Group upload a list of candidates Purchase vouchers used by candidates to enroll for the SIE Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 10
12 SIE Enrollments & Results Non-registered Persons Mockup Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 11
13 Mockup Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 12
14 Reserved for mockup screens Mockup Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 13
15 Essentials Exam Enrollment for Individuals Will access enrollment system from finra.org Will need to create an account to enroll and pay Will access direct link to Prometric appointment scheduling Will receive score report at test center Can also view result in enrollment system Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 14
16 Reserved for mockup screens Mockup Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 15
17 Change in CRD Display of Exam Results Starting on October 1, 2018, CRD will show the following: For passing test results will indicate that the individual passed the exam For failing test results will indicate that the individual failed the exam and will display the test score. Once an individual passes the exam, the failing results will no longer be displayed. Only the passing result will be displayed. Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 16
18 Change in CRD Display of Exam Results (cont.) Why is this change being made? CRD maintains registration information. FINRA qualification exams determine whether a person has demonstrated minimum proficiency to act in a registered capacity. Exam score is not intended to predict how well a person will perform in a position (i.e., a person who scores 90 will not necessarily perform better than a person with a score of 75). Test scores will not be stored in CRD. Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 17
19 Viewing Exam Results Registered Persons Exam section Mockup Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 18
20 Viewing SIE Results Firms that pay the Essentials Exam fee will be able to view the individual s result. If an individual pays the Essentials Exam fee, the firm will ONLY be able to view the result when: Conducting a preregistration search or Filing a Form U4 requesting a registration. Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 19
21 Resources SR-FINRA Regulatory Notice Essentials webpage: finra.org/industry/essentials-exam Exam Restructuring webpage: finra.org/industry/exam-restructuring Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 20
22 TEST SECURITY An Overview Questions 2018 Financial Industry Regulatory Authority (FINRA). All rights reserved. Materials may not be reprinted or republished without the express permission FINRA. Individuals, firms and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration or example. Firm Call on Exam Restructuring July 31, 2018 Copyright 2018 FINRA 21
Industry Call on Exam Restructuring
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