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SIE: Securities Industry Essentials Exam

To get an overview of the course, click above to watch the "Getting Started" introductory video. The SIE course includes 17 exclusive NorthStar tutorial videos.

The SIE exam comprises 75 scored questions with an additional 10 unscored "pretest" questions. Applicants have 105 minutes to complete the exam. The passing score is 70%. The Series 6 or Series 7 Specialized Knowledge (Top-Off) Exam is required to become fully licensed.

Audience: The Securities Industry Essentials (SIE or Essentials) Exam, which went into effect October 1, 2018, is a 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.

Price: $149.00

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What's Included:

  • 15 Learning Modules
  • 19 Interactive Online Quizzes
  • 17 Video Tutorials
  • 6 Sample Final Exams

More Purchasing Options

QStar Mastery Exams Option – Don't need the full course? Purchase the sample final exams for this course for only $75.00. Course content modules, quizzes, and tutorial videos not included. Add to cart »
FREE Mobile App Available – Complement your training with the FREE NorthStar mobile app. Quiz yourself on the go using questions pulled from the Mastery Exam test bank. Now available for iOS (Android coming soon). NorthStar students and non-students alike are welcome, no sign-up or login required. Click here to install »
Printed Book Available – We've combined all the print lessons into a single 440-page book, SIE: Securities Industry Essentials Exam Study Guide, and made it available for purchase and delivery from Amazon.com. Click here to buy on Amazon

The NorthStar Advantage

Our package is the best value in the industry and includes everything you need to pass your exam quickly.

Convenient – Study anywhere, anytime on your desktop, tablet, or phone.
Comprehensive – Online & printable lessons (Ebook) with executive summaries; Live and OnDemand lectures; test-taking tips; quizzes, midterms & final exams that simulate the actual test; and direct access to expert instructors. Textbooks are also available for purchase.
Personalized – System creates a personalized plan that targets weaknesses and optimizes study time. Create unlimited custom exams to close any knowledge gaps.
Effective – Green Light program indicates your preparedness for your exam, ensuring the highest industry pass rates!

No Pass No Pay Guarantee

We're so confident you'll pass this exam on your first try, this course is guaranteed by our No Pass No Pay policy. Learn More »