10 Key Questions For Passing The SIE Exam: Registration & Continuing Education

Welcome to PassMasters’ Questions of the Week with Suzy Rhoades, our expert securities exam prep instructor. In this video, Suzy will cover 10 questions related to the topic of Registration and Continuing Education using questions presented directly from our securities exam prep licensing courses. Need to pass your SIE exam quickly? Check out more details about Suzy's course here: SIE Test Prep Online Video Course with Suzy https://passmasters.com/securities/sie/ Are you studying for another securities license exam? Chances are Suzy can help you there too. To see all of Suzy's securities exam prep course offerings, check out the following page of our site: https://passmasters.com/securities-ex... Check out Shannon's feedback about Suzy's SIE course below and check our site to see what others have to say about their experience preparing for their securities exams: https://passmasters.com/testimonials/ “Hi, Suzy!! I want to thank you A MILLION TIMES!!! I passed my SIE on my first try and it was because you helped me enormously. You helped me not just memorize the right answers, but genuinely learn why those answers were right. In addition, I typically get quite nervous for standardized tests, and you really gave me a lot of confidence and I remembered the tricks you taught me during the exam! Your videos are filled with laughter and fun stories to keep you focused even when you are tired! Thank you SO SO MUCH! Really truly thank you!” Shannon - SIE student We will be posting questions of the week-type videos frequently, so please make sure to subscribe to our page and activate notifications. Do you have questions about anything covered in this video? Or about any of the securities exams in general? Post a comment, and we will respond asap. Thanks for viewing, and happy studies! Contents of this video 0:00 - Welcome 0:30 - Practice Question 1 – CE requirements – note CE requirements for registered representatives will change 1/1/23, this question will be updated when the exam updates 2:35 - Practice Question 2 – B/D membership to FINRA 3:05 - Practice Question 3 – Activities allowed when an individual is not a registered representative 3:53 - Practice Question 4 – Trainers in the securities industry must be registered as 4:34 - Practice Question 5 – Definition of statutory disqualification 5:18 - Practice Question 6 – Statutory disqualification of an individual 6:05 - Practice Question 7 – Agent’s registration renewal date 6:34 - Practice Question 8 – CBOE background checks 7:11 - Practice Question 9 – Statutory disqualification of an individual 8:05 - Practice Question 10 – Associated persons 8:45 - Recap