The Securities Industry Essentials Exam | |||
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Securities Licensing: About Our Securities Industry Essentials Exam Prep CoursesThe 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). Passing the SIE exam should make it easier to find a job in the securities industry as you have proven mastery of the essentials, versus the old FINRA rules where you needed to be employed or otherwise sponsored by a FINRA member in order to take the Series 7 exam. More information about the Securities Industry Essentials Exam is provided at the bottom of this page. What Is On The FINRA SIE Exam?The Securities Industry Essentials (SIE) examination consists of 85 multiple-choice questions covering the topics listed below.
About The Securities Industry Essentials Exam And Our SIE Exam Prep Classes And Study MaterialsSIE And Top-Off Training Options Available In Multiple FormatsTrainingCenter offers FINRA SIE exam prep materials and SIE exam study guides to help you study for and take your The Securities Industry Essentials exam. Each of our SIE exam prep classes and the accompanying study materials contain proven methods to help you to effectively prepare, practice, and pass your SIE 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 SIE course. | |||
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About The Securities Industry Essentials: Pre-Requisites And Other InfoThe FINRA SIE 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. There are no prerequisites to taking the Securities Industry Essentials Exam, and once you pass your SIE exam, you have one full year to study for and pass your Top Off exam. The Origin of the SIE Exam On October 1, 2018, FINRA changed the requirements for earning a Series 6, 7, 79, or 99 license. Where you used to take one exam for a Series 6 or 7 license, you now have to take a base course titled Securities Industry Essentials, plus a shortened version of the original Series 6 or 7 course. Why The Change? The new SIE exam and the changes to the licensing requirements stemmed from a review conducted by FINRA, with the following objectives:
How To Prepare For The SIE ExamThe FINRA site offers a full outline of the sections listed above. This outline is similar to the previous Series 7 exam, although this exam is far shorter than the Series 7 and focuses on basic industry information rather than delving into topics in depth. SIE exam study guides and practice exams provide plenty of preparation for your test. At AB Training Center, we offer a wide range of digital and print resources to help you prepare for your SIE exam and pass on the first try. Along with self-study resources, we offer in-person SIE exam prep seminars and webinars, so you can ask questions to a knowledgeable instructor and train with other emerging professionals. Your instructor will help you work through difficult concepts and gain a better understanding of what you'll need to pass your SIE exam. 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').Tip: Whether you take an in-person, online, or self-studay pre-licensing course, all come with many sample exam questions. We suggest you take as many of these sample exams as possible, and recommend you leave at least two weeks between when you complete your pre-licensing course and your exam date to give you enough time to take as many sample exams as you can. Contact AB Training Center for SIE Exam PrepIf you're looking for courses that can help you excel on the FINRA SIE exam, you'll find the support you're looking for with AB Training Center. AB Training Center has been training financial professionals across the country since 1994. We're proud to offer today's emerging industry experts with a full range of in-person seminars, webinars, audio conferences and SIE exam study guides. After you pass the SIE exam, you'll also find ongoing support as you prepare for your Top Off exam. Contact us for more information about our products and services, or find your online training guide or local seminar using the search tool above. Related Links | |||
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