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SIE: Securities Industry Essentials Exam
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.
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- 15 Learning Modules
- 19 Interactive Online Quizzes
- 17 Video Tutorials
- 6 Sample Final Exams
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