SIE (Securities Industry Essentials) 2025 – 400 Free Practice Questions to Pass the Exam!

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What is required for a registered representative to maintain their securities license annually?

Passing a financial management exam

Completing 10 hours of online training

Passing a regulatory element CE exam

To maintain their securities license, a registered representative is required to pass a regulatory element continuing education (CE) exam. This requirement ensures that representatives stay updated on current regulations, practices, and standards in the industry. The regulatory element is generally mandated by the Financial Industry Regulatory Authority (FINRA), and it specifically focuses on topics relevant to the representative's role and the evolving landscape of securities regulation.

Continuing education is crucial in the financial services industry to reflect ongoing changes in laws and regulations, as well as to address issues like ethical standards and best practices. The requirement for this specific CE exam underscores the importance of ongoing professional development for registered representatives in order to protect investors and maintain the integrity of the financial markets.

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Attending a broker-dealer conference

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