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The Securities Industry Essentials (SIE) Class

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; and prohibited practices.

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.