SIE Exam Audio Lessons
The SIE Exam 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.
Unlike the licensing exams such as the Series 4,6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 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.
Essentials exam results are valid for four years.
Just passing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the SIE and a qualification exam appropriate for the type of business (the most common being the Series 7 Exam but the Series 65 is becoming very popular as well) the individual will engage in. The individual must be associated with a member firm to take a qualification exam.
We have created two new Audio Courses specifically for the SIE Exam
The original Securities Industry Essentials Exam Podcast, Audio Lessons for the SIE Exam
This is the most extensive and comprehensive series of audio lessons which consists of 60 lessons 37 hours 17 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam This series of lessons includes an extensive introduction to the industry with specific anecdotes about many of the topics which many find very helpful for remembering the topic matter
Click here for the Table of Contents for the Securities Industry Essentials Exam Lessons
Bare Bones SIE Exam Audio Lessons
Or if you just want the bare bones of needed information to prepare for the SIE exam you may want to choose the shorter and less expensive and also less extensive SIE Exam Audio Lessons for the New Financial Professional a dynamic and effective audio course tailored for new financial professionals. With over 11 hours of expertly narrated instruction
