6 Del. Admin. Code § 200-F-610
Current through Register Vol. 28, No. 5, November 1, 2024
An individual applying to be registered as a broker-dealer or a broker-dealer agent under the Act must successfully complete the North American Securities Administrators Association (NASAA) Uniform Securities Agent State Law Examination (NASAA Series 63 or 66), administered by FINRA. Applicants who are new to the securities industry as of October 1, 2018 must also successfully complete the Securities Industry Essentials examination ("SIE"), administered by FINRA.
6 Del. Admin. Code § 200-F-610
15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014)
22 DE Reg. 609 (1/1/2019) (Final)