🪪 Registration & Qualification

Who needs a license, the forms that follow you, CE deadlines and what can end a career

4 lessons · free

• 1Who Needs a License (and Who Doesn't)
• 2U4 In, U5 Out: The Forms That Follow You
• 3Continuing Education and Keeping Your Exams Alive
• 4Disqualified: Felonies, 8210 and FINRA Discipline

SIE-style questions, XP and streaks in the app. No sign-up needed.

📝 Free SIE practice questions: overview of the regulatory framework