Securities Industry Essentials Examination Course

Purpose of the exam the securities industry essentials sie exam assesses a candidate s basic knowledge of the securities industry.

Securities industry essentials examination course.

About the securities industry essentials examination sie the sie is designed to test candidates entering the securities industry in four major topic areas 1. The practice test is not timed but you will have 1 hour and 45 minutes to take the sie exam. The sie exam assesses a candidate s basic knowledge of the securities industry. Knowledge of capital markets focuses on topics such as types of markets and offerings broker dealers and depositories and economic cycles.

The outline is comprised of the four sections. The sie exam focuses on industry terminology securities products the structure and function of the markets regulatory agencies and their function and. Other required licensing exams include the series 6 or series 7 as well as series 63 65 or 66. The table below lists the allocation of exam questions for each section.

A new general knowledge exam called the securities industry essentials sie will become a corequisite for the series 7 general securities representative series 79 investment banking representative and other series exams. Answer 75 multiple choice questions that are similar to those you might find on the sie exam. Get firsthand experience with a free practice test for the security industry essentials sie exam. Learn about the securities industry essentials exam sie the streamlined qualification test from finra for people looking to get a job in the securities industry.

The sie exam securities industry essential is the first licensing exam required to sell securities and covers the basic information about products and regulation in the industry. The securities industry essentials exam or sie exam is an assessment offered through finra for prospective professionals in the securities industry. Finra requires that all candidates must pass both the sie exam and a representative rep level top off exam. Introduction to the securities industry essentials sie beginning october 1 2018 finra will overhaul the format of its regulatory exams.

Kaplan financial education s securities licensing exam prep packages provide all the necessary tools to help you prepare practice and perform on the finra securities industry essentials sie exam we offer a variety of instruction options and exam prep study tools to best suit your learning style and schedule. Sie exam prep classes and study materials. Proceed at your own pace.