SIE: Verification By Principal

Taken from our SIE Online Guide

Verification by Principal

Before signing Form U4, a principal must verify the applicant’s employment for the prior three years and attest to her character and reputation.

Once a person files a Form U4 with FINRA, it is entered into the CRD, but the registration does not become valid until the person passes the appropriate qualification exam.

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Since you're reading about SIE: Verification By Principal, you might also be interested in:

Series 24 - CHAPTER FOUR: Supervision of Investment Banking and Research

Series 7 - 5.2.4 Creating a Listed Option

Series 63 - 1.1.2.1.1. Federal Exclusions from the Definition of Investment Adviser

Series 65 - Planning for Education and College Costs

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