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The Securities Industry Essentials ® (SIE ®) Exam 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 ...
This introductory-level exam assesses knowledge of basic industry information, including fundamental concepts such as types of products and their risks; the structure of the markets, regulatory agencies and their functions; and prohibited practices.
Test Your SIE Knowledge Get firsthand experience with a free practice test for the Security Industry Essentials® (SIE®) Exam. Answer 75 multiple-choice questions that are similar to those you might find on the SIE exam.
The Securities Industry Essentials (SIE) exam is available for online test delivery to any candidates with open enrollment windows. Candidates can schedule an online appointment for the SIE exam by accessing Prometric's scheduling page and selecting the appropriate link.
SIE Exam and Exam Restructuring Frequently Asked Questions (FAQs) Following are FAQs about the Securities Industry Essentials ® (SIE ®) Exam and exam restructuring. Click on the links below to view all sections of the FAQs.
Practice the SIE exam online with the interactive test available on the FINRA website.
The Securities Industry Essentials (SIE) exam assesses a candidate’s basic knowledge of the securities industry. The exam focuses on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices.
Securities Industry Essentials (SIE) Exam 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 ...
The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
Help students prepare for a career in the financial services industry by encouraging them to take the Security Industry Essentials ® (SIE ®) Exam, an introductory-level FINRA exam that assesses knowledge of basic industry information.