1.3 Registration and Qualification Requirements

In this section

• Securities Industry Essentials (SIE) Exam: Prerequisite for Series 6
  Understand the Securities Industry Essentials (SIE) Exam, a corequisite for the Series 6 license. Learn about its purpose, topics, and how it prepares you for a career in the securities industry.
• Form U4 and Registration Process for Series 6 Exam
  Understand the Form U4 and Registration Process for the Series 6 Exam, including the role of the sponsoring firm, required information, and the importance of accurate reporting.
• Continuing Education Requirements for FINRA Series 6
  Explore the comprehensive guide to FINRA's Continuing Education (CE) requirements for Series 6, including the Regulatory Element and Firm Element, timelines, and the importance of compliance.