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The SIE Exam is a FINRA exam for prospective securities industry professionals who want to demonstrate basic industry knowledge. It covers topics such as capital markets, products, risks, trading, customer accounts and regulatory framework.
- Schedule an Exam
Refer to the Request an Online Appointment for the SIE Exam...
- Practice Test
Test Your SIE Knowledge. Get firsthand experience with a...
- Enroll for an Exam
NOTE: If you are associated with a broker-dealer or...
- Exam Information for Students
This introductory-level exam assesses knowledge of basic...
- FAQs
Following are FAQs about the Securities Industry Essentials®...
- Series 7
Candidates must be associated with and sponsored by a FINRA...
- Waivers and Exemptions
FINRA may grant waivers, in exceptional cases, or exemptions...
- Tess
Account Creation1. I am a new user and need to request an...
- Permitted Activities and Other Facts About Qualification Exams
The following pages will be useful to registration managers...
- Sie
Whether you’re a military veteran or transitioning service...
- Schedule an Exam
Test your knowledge of the Securities Industry Essentials (SIE) Exam with a free practice test that includes 75 multiple-choice questions. Get feedback and learn about the exam content outline and format.
The SIE Exam is a FINRA exam for anyone considering a career in the financial services industry. It assesses basic industry knowledge, such as products, markets, regulations and prohibited practices. Learn how to prepare, take and benefit from the exam.
- Changes in Securities Industries Essentials Exam (SIE) Qualifications
- Sie and Top Off-Exams as Replacements
- Structure of The Sie Exam
- Benefits of The Sie Exam
- Impact of Sie Exam Changes
- The Bottom Line
- GeneratedCaptionsTabForHeroSec
The SIE had a major structural impact on the qualification exams. The SIE replaces portions of every previous exam, including the Series 6, Series 7, Series 22, Series 55/56 (replaced by Series 57), Series 79, Series 82, Series 86/87, and Series 99. These tests were shrunken, becoming qualification exams that focus on the specialized knowledge need...
In their original Securities and Exchange Commission filings, FINRA targeted the fall of 2016 to early 2017 for a rollout of their highest volume exams. This proved to be a bit optimistic. There were several shifts in the scheduling, one resulting from the requests of member firms and industry associations for more time to set their own processes i...
The SIE exam structure is largely based on the general knowledge components of the exams it replaced that portion for. In January 2018, FINRA provided more details on the structure. The sections and question count are as follows: The 75 questions are actually 85, since there are 10 randomly distributed pre-test questions that do not count towards t...
Passing the SIE exam can provide a number of benefits to your career: 1. Job hunting: Passing the exam will make you a more appealing job candidate and help you to stand out in interviews. 2. Career: The SIE allows you to register as a representative in the financial securities industry. 3. Knowledge: Studying for and passing the SIE ensures that y...
If you already passed one of the FINRA exams and are currently registered as a representative, you are considered to have passed the SIE already. If you passed one of the exams and are not currently registered, you may need to take the SIE depending on how many years elapse between now and your next registration. And, of course, if you passed the e...
If you were already sponsored to take one of the qualification exams, go for it. These changes won't impact you at all. If you expect to be sponsored in the future, the overall content you need to master won’t change even though you have to do it in two chunks. If, however, you are not currently sponsored or in the industry, the SIE will open the d...
The SIE exam is a new qualification test for the financial services industry that covers the fundamental knowledge of several previous exams. Learn how the SIE exam works, what it covers, how to prepare for it and how it affects your career options.
Practice the SIE exam online with the interactive test available on the FINRA website.
Learn about the foundations of the financial services industry and the regulations that govern it with this free SIE study guide. It covers four sections based on FINRA's SIE Content Outline and includes review quizzes and practice tests.
Learn about the FINRA Securities Industry Essentials (SIE) Exam, a new introductory-level exam for prospective securities industry professionals. Find out the exam format, topics, prerequisites, fees, passing score and how to prepare with Kaplan.
