BROKER-DEALER -

FINRA Proposes Rule Change Related to the Content of the Securities Industry Essentials Examination -

On January 12, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and Exchange Commission a proposed rule change outlining the content and selection specifications for FINRA’s new general knowledge examination, the Securities Industry Essentials Examination (SIE) (For additional information related to the SIE, please see the July 14, 2017 edition of the Corporate & Financial Weekly Digest.) The rule change proposes that the SIE be divided into the following four sections...