The Securities Industry Essentials (SIE) Class


The Securities Industry Essentials (SIE) Class

Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

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.

SIE Exam Details:

  • Duration: 105 Minutes
  • 75 Questions
  • Cost: $60
  • Passing Score: 70%

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