The Securities Industry Essentials (SIE) Class
Securities Industry Essentials (SIE) Exam
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.
Key Features of the Essentials Exam
- The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
- Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
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.
This course is approved for 24 hours of Continuing Education, including Ethics, for those with an active Life, Accident & Health and/or Property & Casualty license as of the first day of class. An additional fee would apply.
SIE Exam Details:
- Duration: 105 Minutes
- 75 Scored Questions
- Cost: $60
- Passing Score: 70%
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