The SIE exam is an introductory-level exam that assesses a candidate's knowledge of securities industry information fundamental to working in the industry, including types of products and their risks, regulatory agencies and their functions, and prohibited practices. It is a pre-requisite to obtaining a Series 6, 7, 79, or 99 license.

Passing the FINRA Securities Industry Essentials (SIE) Exam is the first step to entering the securities industry and serves as the corequisite to qualification licensing exams (e.g., Series 6, 7, 79). To sit for the SIE Exam, you are not required to be associated with a member firm.