Industry Call on Exam Restructuring
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1 Industry Call on Exam Restructuring FINRA Securities Industry Essentials Exam, Exam Restructuring and Registration Rule Consolidation September 18, 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, Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 1
3 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 Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 2
4 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 What is the passing score? 70 Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 3
5 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 Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 4
6 Top-offs Essential Facts Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 5
7 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. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 6
8 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. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 7
9 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. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 8
10 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 Can pay for exam with credit card or by redeeming voucher Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 9
11 Reserved for mockup screens Mockup Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 10
12 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 Group upload a list of candidates Purchase vouchers used by candidates to enroll for the SIE Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 11
13 Non-U4 SIE Enrollment Web CRD will include an option for firms to enroll non-registered individuals for the SIE, and pay the exam fees from the firm s Flex-Funding Account. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 12
14 Non-U4 SIE Enrollment (cont.) Note: The manually add feature to request a single enrollment will be available after the October 1 st launch. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 13
15 Non-U4 SIE Enrollment (cont) Firms can use the downloadable templates to create the CSV file and then select for upload. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 14
16 Non-U4 SIE Enrollment (cont.) SIE enrollments uploaded and paid for by the firm will be added to the Individuals Enrolled for SIE list. Once an individual sits for the exam, the same list will be updated with the exam result and score (if applicable). Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 15
17 Non-U4 SIE Enrollment - Vouchers Firms will also have the option to purchase SIE vouchers (up to 100 at a time) to provide to individuals who can enroll themselves for the SIE. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 16
18 Non-U4 SIE Enrollment (cont.) After vouchers are purchased, firms can download a spreadsheet to obtain the list of voucher codes and track their redemption. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 17
19 Non-U4 SIE Enrollment (cont.) Non-U4 SIE Enrollment Reminders Enrolling an individual for the SIE outside of Form U4 does not by itself create a CRD number for them. A CRD number will be assigned when a filing is made for the individual in CRD. Non-U4 SIE exam results can be seen in the SIE Enrollment/Results link, and can also be viewed via the existing Pre-Registration Search feature. However, they will not immediately be part of the individual s CRD record. When an SIE-only individual becomes registered, their SIE Pass result will then be posted to their CRD record. Industry Call on Exam Restructuring September 18, 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 pre-registration search or Filing a Form U4 requesting a registration. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 19
21 Pre-Registration Search The existing Pre-Registration Search will be enhanced to display individuals that have passed the SIE outside of Form U4. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 20
22 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. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 21
23 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. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 22
24 Revised Test Center Exam Results Report Pass Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 23
25 Revised Test Center Exam Results Report Fail Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 24
26 CRD Exam Views Exam Results Scores will no longer be posted to CRD for Pass results. Exam History and Reports will display non-passing exam results (Fail, No Show, etc.) and scores only until an exam result of Pass is received. After that, all prior non-passing results for that exam will disappear from CRD. Exam Validity Exam History will have a new field that indicates if a passed/waived exam is still valid for registration purposes, including a future expiration date (if applicable). SIE Credit SIE exam credit will be automatically granted to individuals registered within the last 4 years, and displayed in Exam History. (See sample screenshots on the following slide ) Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 25
27 Exam History Exam History Samples #1 Currently registered individual #2 Not currently registered, but exams still valid #3 Out of the industry Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 26
28 FINRA Registration Rule Consolidation
29 Consolidated Registration Rules Consolidates NASD and incorporated NYSE registration rules into FINRA registration rules (FINRA Rule 1200 Series) Requires firms to designate a Principal Financial Officer and a Principal Operations Officer (can be same person at non-clearing firms) Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 28
30 Chief Compliance Officer Chief Compliance Officers (CCOs) will have a FINRA Compliance Officer registration requirement - CR (Series 14 exam) Persons with a General Securities Representative and General Securities Principal (S7 GS and S24 GP) registration can register as a Compliance Officer without taking the Series 14 exam On October 1 FINRA will automatically grant CR registration to persons with a GS/GP who is listed as the CCO on Schedule A of Form BD Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 29
31 New Principal Positions Investment Banking Principal (BP) S79 + S24 Private Securities Offering Principal (PO) S82 + S24 General Securities Principal (GP) will be limited to S7 + S24 On October 1 FINRA will automatically grant the BP to persons holding the IB (S79) and GP registrations. On October 1 FINRA will automatically grant the PO to persons holding the PR (S82) and GP registrations. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 30
32 New Principal Positions (cont.) Sample screenshot of individual automatically granted the BP, and GP automatically terminated: Web CRD & IARD Release Firm User Testing Copyright 2018 FINRA 31
33 Permissive Registration Allows permissive registration of persons engaged in a bona fide business purpose of a member (i.e., an associated person) Expands current NASD rule allowing for permissive registration of persons performing certain limited functions (e.g., legal, compliance, internal audit) Such persons will be subject to a level of supervision commensurate with their status Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 32
34 Financial Services Affiliate Waiver Program (FSAWP) FSAWP will allow an individual working for a financial services affiliate of a member to receive a waiver of a qualification exam requirement upon returning to the member for up to seven years, provided the firm and the individual satisfy certain criteria Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 33
35 Overview of FSAWP Process Firm files Form U5 for individual and s FINRA requesting FSA eligibility (must meet 10/5/1 rule) FSAWP eligibility request must include address for individual FINRA notifies individual via his/her FSA eligibility and individual s responsibilities to maintain eligibility, including CE requirement FINRA notifies individual via of each upcoming CE requirement with a link to enrollment page Recommended that individual establish a FinPro acct Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 34
36 Overview of FSAWP Process (cont) When individual returns, firm files Form U4 and an FSAWP exam waiver request FINRA processes waiver request within 30 days Individual who has successfully maintained eligibility is granted an unconditional exam waiver Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 35
37 Resources SR-FINRA Regulatory Notices and Essentials webpage: finra.org/industry/essentials-exam Exam Restructuring webpage: finra.org/industry/exam-restructuring Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 36
38 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. Industry Call on Exam Restructuring September 18, 2018 Copyright 2018 FINRA 37
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