The Securities Industry Essentials (SIE) Class
December 11 - December 13
Securities Industry Essentials (SIE) Class
- 75 Scored Questions
- Duration: 1 Hour, 45 Minutes
- Passing Score: 70%
- Morton-Barber First Time Pass Rate: 98.1%
- Monday – 8:00 AM – 5:oo PM
- Tuesday – 8:00 AM – 5:00 PM
- Wednesday – 8:00 AM – 5:00 PM
The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; prohibited practices; as well as the use of insurance products within the securities industry.
The SIE exam topics: Industry terminology, securities products, the structure and function of the markets, regulatory agencies and their function, as well as regulations & prohibitive practices for the both the securities industry as well as insurance industry.
The class is approved for 24 Hours of Continuing Education credit in Ohio and Indiana, at this time
Materials will be mailed out a week before the virtual class.
Staff will email Zoom meeting details to students once registration is complete!