How To Sign Up For The SIE Exam
How To Sign Up For The SIE Exam and why would you want to?
The Securities Industry Essentials (SIE or Essentials) 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.
To enroll to and sign up for the SIE Exam you will need to visit the FINRA website at this link
http://www.finra.org/industry/enroll-for-sie
The enrollment process varies depending on whether you are an organization or an individual. The process also varies for organizations with access to CRD and organizations such as training companies, colleges and universities
How To Sign Up For The SIE Exam
The Securities Industry Essentials (SIE or Essentials) 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.
Passing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. 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 individual will engage in (The most common one being the Series 7 Exam). The individual must be associated with a FINRA member firm to take a qualification exam.
Our Audio course will help you prepare for the SIE Exam