The Securities Industry Essentials (SIE) Class
Securities Industry Essentials (SIE) Exam
The Securities Industry Essentials (SIE or Essentials) Exam, is a 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.
This course is approved for 24 hours of Continuing Education, including Ethics, for those with an active Life, Accident & Health and/or Property & Casualty license in the following states;
AZ, CO, CT, FL, MA, MI, MN, OH, PA, and WI. An additional fee would apply.
The State of Illinois approves this course for 12 hours of Continuing Education, including Ethics.
SIE Exam Details:
- Duration: 105 Minutes
- 75 Scored Questions
- Cost: $80
- Passing Score: 70%
