This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam exam.
In this episode you will learn:
- The purpose and key information required on Form U4, including the 5-year residency and 10-year employment history.
- How the Central Registration Depository (CRD) system functions as the industry's central database for agent information.
- What events trigger a statutory disqualification, with a focus on the 10-year lookback period for felonies and specific misdemeanors.
- The process and timeline for filing Form U5 upon termination and the 2-year window to keep licenses active.
- The differences between the two types of Continuing Education: the Regulatory Element with its specific schedule and the annual Firm Element.
For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818
![[SIE] 59, Registration and Licensing](https://artwork.captivate.fm/abe4183a-4dfa-4a03-97da-92d15c5d473d/_bZUi6Yzjq6h3zQu_ZsaQB5Y.jpeg)