Consolidating securities

30-Jul-2017 02:13

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058 Insurance policies (ORS Chapter 743) - OAR Chapter 836, Div.

060 Vendor's single Interest Policies and Motor Vehicle Physical Damage Only Policies - OAR Chapter 836, Div.

Big changes are coming to the qualification tests for a variety of occupations in the financial services industry, formerly known as the Series exams.

Back in 2015, Financial Industry Regulatory Authority (FINRA) took a look at its testing structure and decided to streamline by consolidating the fundamental knowledge shared across several of the Series exams into a single Securities Industry Essentials Exam (SIE).

In fact, the exams are being designed to take the same total time as previously.

For example, the SIE and Series 7 top off exam will take the same amount of time as the current Series 7 exam.

There is a lot of speculation as to how this will affect people looking to get into the financial industry, but it is safe to say that passing your SIE prior to looking for a job may give you an edge as the prospective employer then only needs to sponsor the top-off exam to get you qualified for a particular role.

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If you are already sponsored to take one of the qualification exams, go for it. If you expect to be sponsored in the future, the overall content you need to master won’t change even though you have to do it in two chunks.The SIE will replace portions of all the existing exams, including the Series 6, Series 7, Series 22, Series 55/56 (now replaced by Series 57), Series 79, Series 82, Series 86/87 and Series 99.These exams will shrink in turn, becoming top-off exams that focus on the specialized knowledge that is needed for that particular qualification.The Oregon Revised Statues (ORS) and Oregon Administrative Rules (OAR) that govern the Department of Financial Regulation are listed below by industry.

They are separated into subcategories by statutes and rules. 007 Fees and Charges - OAR Chapter 836, Div.009 General Provision - OAR Chapter 836, Div.(Also see: Should You Add A Securities License To Your Qualifications?

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