Additionally, if a currently-licensed representative leaves the industry and: Returns within two years, his or her registration would be regained without the need to take the SIE or Top Off exam If between two and four years later, the SIE exam need not be taken again; but a Top-Off exam...
Every brokerage firm in America is a member of the FINRA, and they set the rules and regulations that every brokerage firm, every branch office, and every licensed securities trader is required to abide by in order to lawfully engage in securities trading activities. The FINRA puts its stamp ...
They also keep the stock market honest-every one of the almost 700,000 licensed securities traders is registered with and overseen by the FINRA, and they set the rules and regulations that traders and brokers must follow. And they vigorously enforce these rules, knowing that public confidence ...