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About The Securities Industry Essentials Exam


The FINRA Securities Industry Essentials (SIE) exam is a requirement to obtaining a Series 6, 7, 79, or 99 license.

The FINRA SIE exam is basically an introductory-level exam that assesses a candidate′s knowledge of basic securities industry information and 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.

Essentially, to obtain a Series 6, 7, 79, or 99 license, you must pass the Securities Industry Essentials exam PLUS pass the applicable Series exam (now referred to as "Top Off" exams). More information about the Securities Industry Essentials Exam is provided at the bottom of this page.

SIE And Top-Off Training Options

While you must take both the SIE and a Top Off exams to earn your license, you can purchase your training materials for both of these exams either individually or at the same time to save you some money (we label these as ′Combo Packages′).

Find Training For The Securities Industry Essentials Exam And SIE Exam Materials

TrainingCenter offers FINRA SIE exam prep materials and SIE exam study guides to help you study for and take your The Securities Industry Essentials exam. Simply click on a ′Recommended Course′ below to view the recommended FINRA SIE exam prep materials and SIE exam study guides, or use the search function to find your preferred method for finding your preferred SIE, Series 6, Series 7, or other license type.
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