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The individual Series Exams will be trimmed down to focus on content specific to the roles relevant to those exams. FINRA launched the Securities Industry Essentials (SIE) examination late last year. The regulator’s intent was to position the SIE exam as an introduction to the securities industry. The exam is designed to assess a candidate’s knowledge of the fundamentals of the securities industry.
Test-takers must provide a valid government-issued ID, which includes a signature and photograph. Examples include an active passport, driver’s license or military ID. If you’re serious about a career in the finance industry and want to pass the SIE exam, buy our full course for only $74. You’ll have access to as many exams as you can take with our bank of 4,000+ SIE exam practice questions. Achievable’s SIE exam prep materials include our online textbook, review questions, and full-length mock exams.
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You do not need to be sponsored by a member firm to take the SIE. However, to take representative level qualification exams you must be sponsored by a member firm. PURPOSE OF THE EXAM The Securities Industry Essentials (SIE) exam assesses a candidate’s basic knowledge of the securities industry. The exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices.
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7 tried and true tips to help you pass tips and tricks from years of tutoring by: professional exam tutoring When you take the actual SIE exam, the questions you see will cover some of the same content included in the practice exam, as well as some content not tested on the practice exam.
This exam is required as a prerequisite to each series level knowledge exam (such as Series 7). If you’re prepping for the exam, you need a trusted resource to ensure your very best performance. Formerly known as the Series exams, the SIE exam has streamlined qualification tests for financial services jobs into one single test.
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