Securities Industry Essentials Examination (SIE)

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On October 1st of 2018, FINRA launched the Securities Industry Essentials Examination (The SIE Exam).  This entry 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. The SIE Exam and the Series 7 Exam are corequisite exams, and to be registered as a general securities representative, one must pass both of them.  The SIE Exam and the Series 6 Exam are also corequisite exams, and to be registered as an investment company/variable contracts products representative, one must pass both of them  Unlike the series 6 and series 7 exams, a test taker does not have to be sponsored to take the SIE Exam.  The SIE has 75 questions and the duration of the exam is 105 minutes. Also, a passing score on the SIE Exam will be good for four years.  

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For additional information regarding the Securities Industry Essentials Examination (The SIE Exam), you can click on the link below to see FINRA's regulatory notice:

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http://www.finra.org/sites/default/files/Regulatory-Notice-17-30.pdf