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 would be required ...
Often this is the question that FirstMark Regulatory Solutions gets when discussing the FINRA general securities principal registration requirements with clients who have already taken the Series 7 and 63 exams. The question of who is required to have aFINRA general securities principal registrationcan ...
Often this is the question that FirstMark Regulatory Solutions gets when discussing the FINRA general securities principal registration requirements with clients who have already taken the Series 7 and 63 exams. The question of who is required to have aFINRA general securities principal registrationcan ...