Securities Industry Essentials Exam | SIE Exam
Securities Industry Essentials Exam | SIE Exam
The Securities Industry Essentials Exam, or SIE, is a a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information. The SIE Exam is a co-request test for certain FINRA registrations.
Passing the Securities Industry Essentials Exam alone does not qualify an individual for registration with FINRA or to engage in the securities business.
To become registered to engage in the securities business, an individual must pass the SIE Exam AND a qualified exam appropriate for the type of business the individual will engage in. The SIE exam is a co-requisite with the Series 6, 7, 57, 82, and 99 exams. The individual must be associated with a member firm to take the qualification exam.
The member firm sponsors the individual to take an exam, such as the General Securities Representative (Series 7) Exam. In addition to the candidate passing an exam, the member firm must satisfy other additional requirements, such as conducting a background check or filing a fingerprint card.
You may take the qualification exam first and then take the SIE, however, that is discouraged since the SIE includes topics that the qualification exam builds on.
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| Study Book + SMART SIE Interactive Web Training | SMART SIE Interactive Web Training |
| $125.00 | $95.00 |
Who Can Take the Securities Industry Essentials Exam:
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How long is the Securities Industry Essentials Exam Valid:
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| 75 Questions | 105 Minutes Time Limit No Prerequisite | $60 | SIE Application |
Test Topics & Approximate Test QuestionsThe Securities Industry Essentials Exam | SIE Exam Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four (4) sections.
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INTERACTIVE WEB TRAINING FOR SIE EXAM
SMART SIE Interactive Web Training is a complete self-study training package delivered online. The program contains the full study text covering all topics tested on this exam. Printed study materials are optional. The course is divided into 10 chapters that are arranged into three study modules.
Smart SIE’s question pool, by far the largest pool of questions offered by any securities exam training firm, has over 4,500 unique questions from which the student can draw virtually unlimited chapter quizzes, mastery exams and simulated practice finals. The program is designed to enable each student to achieve the minimum competency to pass the actual exam.
The program is divided into 3 Modules, the same as our SIE text, and includes an online textbook that leads you sequentially through every topic, testing the user on each major point.
SMART SIE Interactive Web Training:
- Eliminates need for bulky textbooks
- Makes the most efficient use of the candidate’s time, since the content delivery is dependent on user performance
- Tailors the training experience to each user's strengths and weaknesses
- Delivers consistent effective training at the lowest per-user cost
The program dynamically modifies each student's learning sequence, based on the student's strengths and weaknesses. If a user is having difficulty with a major concept, he or she is presented with the information to be learned in a variety of reinforcing methods until mastery is achieved. Therefore, users who are not having problems move rapidly through the program; those who are having difficulty will move more slowly, but they will meet the minimum competency level needed to pass the examination upon successful completion of SMART SIE. We developed this learning approach by combining the most successful teaching techniques culled from 30 years of preparing students for the securities exams.
Smart SIE includes an online Quick SIE summary guide, as well as an online glossary of defined terms. Audio sound bites that provide additional information about topics being tested in the practice portion of the program are included.
Smart SIE tracks YOUR progress.
Each Smart SIE is a single user program governed by the PassPerfect End User Licensing Agreement and valid for 9 months from date of purchase or until the user passes the actual exam, whichever comes first. Smart SIE can be renewed for an additional 3 months if the student assigned to the account has not passed the actual exam.
The content for SMART Interactive Web Training is constantly updated. Changes are added to the material as they become available.
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