SIE Exam Audio Lessons
The Securities Industry Essentials Exam is Effective October 1, 2018 when the Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. Where now the SIE Exam is a required prerequisite for most of the FINRA Licensing tests.
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.
The New Securities Industry Essentials Exam now tests on most of the information that was originally tested on to pass the old Series 7 Exam. So the Exam in a very serious challenge of your understanding of the Financial Industry , Investments and Regulations and should not be taken lightly.
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) the individual will engage in. The individual must be associated with a member firm to take a qualification exam.
We have created a new Audio Course specifically for the SIE Exam
Securities Industry Essentials Exam Lessons
Click here for the Table of Contents for the Securities Industry Essentials Exam Lessons