SIE podcast · Episode 20
Registration and Continuing Education
39 min of listening
Regulatory Framework. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Registered vs. Non-Registered Persons
- SRO Qualification and Registration Requirements
- Statutory Disqualification
- Ineligibility for Membership or Association
- State Registration Requirements (Blue-Sky Laws)
- Continuing Education (CE) Requirements
Put this episode into practice with adaptive questions and flashcards in the full SIE course.