The Securities Industry Essentials (SIE) Class

Securities Industry Essentials (SIE) Exam

The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new 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 as of the first day of class.  An additional fee would apply.


SIE Exam Details:

  • Duration: 105 Minutes
  • 75 Scored Questions
  • Cost: $60
  • Passing Score: 70%

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