Securities Industry Essentials (Entry-level Exam)
The Securities Industry Essentials (SIE) exam is an entry-level FINRA exam that, unlike traditional securities exams, does not require broker-dealer firm sponsorship. The exam tests industry fundamentals that are necessary for all registered securities professionals. These include knowledge about various investment products, market dynamics and risk, industry regulatory agencies, and broker-dealer business practices.
The SIE exam is valid for four years after a candidate passes. Within this four-year period, the individual must become associated with a FINRA member broker-dealer and pass a top-off exam (Specialized Knowledge Exam or SKE), such as the Series 6 or Series 7.
Securities Exam Preparation training can help you get your career started.